Broker Gerry Sharpe Facing Disputes From Aegis Capital Corp Clients Financial Industry Regulatory Authority (FINRA) BrokerCheck reports that investors disputed securities broker Gerald “Gerry” Richard Sharpe Jr. (CRD#: 2109210, Red Bank, New Jersey). It appears that Sharpe is an Aegis Capital Corp securities broker (2016 to present) and also worked for securities firms JW Barclay […]

Aegis Capital Corp Clients File Disputes About Securities Broker Brian Rockowitz It has come to the attention of Soreide Law Group through Financial Industry Regulatory Authority (FINRA) BrokerCheck that there are investor disputes filed against securities broker Brian David Rockowitz (CRD#: 1892992, Hauppauge, New York). Specifically, five investors who allegedly experienced damages because of the […]

FINRA Bars Securities Broker George McCaffrey Following Private Securities Transactions Investigation Soreide Law Group has news to share with you regarding sanctions and investor claims relating to George Louis McCaffrey (CRD#: 847377, Englewood, Colorado). Specifically, the securities broker, who worked for NTB Financial Corporation from 1989 through 2017, is no longer allowed to be a […]

FINRA's Complaint Alleges Gregory Lewis' Misconduct Concerning StockKings The Financial Industry Regulatory Authority (FINRA) Department of Enforcement filed a complaint against securities broker Gregory Antonius Lewis (CRD#: 2793976, St. Petersburg, Florida). Specifically, the securities broker, who worked for StockKings Capital LLC since June 2013, is accused of misconduct relating to private securities offerings. Soreide Law […]

Sandlapper Securities Broker Kevin Nevin Barred, Facing Investor Disputes Soreide Law Group wants to share some important information with you in regard to securities broker Kevin Mark Nevin (CRD#: 2460059, Edina, Minnesota). Evidently, Nevin worked for firms Sandlapper Securities (2015 to 2019) and Dempsey Lord Smith LLC (2019 to 2021). FINRA BrokerCheck shows that Nevin […]

World Equity Group Clients File Disputes About Broker John Mateyko's REIT Sales The Financial Industry Regulatory Authority (“FINRA”) reports through BrokerCheck that investors have challenged the sales practices of securities broker John Mateyko (CRD#: 3275621, Rolling Meadows, Illinois). Specifically, three investors disputed Mateyko’s sales practices regarding REITs (real estate investment trusts). Here’s more on these […]

Soreide Law Group obtained the following information from FINRA’s Disciplinary Actions, August of 2021. JTA Securities Management, Inc., dba Titan Securities (CRD® #131392, Addison, Texas) and Brad Curtis Brooks (CRD #1584633, Frisco, Texas) According to the FINRA report, on June 29, 2021, JTA Securities Management, Inc., dba Titan Securities (the firm) and Brad Curtis Brooks […]

Securities Broker Doug Hyer (First Allied Securities) Involved In Investor Dispute New information is reported on BrokerCheck as it relates to securities broker Douglas “Doug” Keith Hyer (CRD#: 254358, Great Neck, New York). Specifically, FINRA reports that four investors filed disputes about the securities broker, and these concern Hyer’s actions at various institutions where he […]

Securities Broker John Loofbourrow Faces FINRA Sanctions, Investor Dispute Soreide Law Group is reviewing potential investor claims against securities broker John Wade Loofbourrow (CRD#: 312494, New York, New York). It appears on Financial Industry Regulatory Authority (“FINRA”) BrokerCheck that Loofbourrow is involved in an investor dispute regarding a private placement sale. Not only that, but […]