Securities Broker Scott Wolfrum (David A. Noyes) Involved In Investor Dispute, Sanctioned By SEC Soreide Law Group has new information to report concerning securities broker Scott Thomas Wolfrum (CRD#: 2187550, Indianapolis, Indiana). Evidently, the securities broker was associated with Wells Fargo Advisors (2011 to 2013), David A. Noyes Company (2013 to 2018), and Huntleigh Securities […]

The Financial Industry Regulatory Authority (FINRA) has barred ALEXIS COOKE (ALEXIS K COOKE, ALEXIS KINASHEA COOKE) CRD#: 5598604, on August 13, 2021, from acting as a broker or otherwise associating with a broker/dealer firm. According to the FINRA report, available to the public on FINRA’s website, without admitting or denying the findings, ALEXIS COOKE consented […]

FINRA Sanctions Reported Against Securities Broker Allan Katz The Financial Industry Regulatory Authority (“FINRA”) contains new information about securities broker Allan Katz (CRD#: 2166004, Staten Island, New York). Specifically, FINRA issued Katz a fine and suspension to resolve allegations of his misuse of client signatures. Also, BrokerCheck shows that Royal Alliance Associates Inc. disaffiliated with […]

Concorde Investment Services Clients Dispute DPP, REIT Sales Practices Of Broker Richard Rodriguez The Financial Industry Regulatory Authority (“FINRA”) reports six investor disputes on the record of securities broker Richard Anthony Rodriguez Jr. (CRD#: 2973254, Fruitland Park, Florida). It appears that one or more of these investors alleges that Rodriguez’s actions at Charles Schwab and […]

EUGENE ARTHUR MCADAMS CRD#: 4190211, formerly with JOSEPH STONE CAPITAL LLC of Center Moriches, New York, was barred by FINRA from acting as a broker or otherwise associating with a broker-dealer firm. According to the FINRA report, dated August 4, 2021, without admitting or denying FINRA’s findings, EUGENE ARTHUR MCADAMS consented to the sanction and […]

Securities Broker Christopher Hildebrandt Involved In Investor Disputes, Sanctioned By FINRA Soreide Law Group has new information to share with you in regard to securities broker Christopher Thomas Hildebrandt (CRD#: 1318476, Cape May Court House, New Jersey). Namely, the securities broker, who worked for securities firm Principal Securities Inc. from March 2003 to November 2018, […]

According to FINRA’s website, KEVIN MARSHALL MCCALLUM (KEVIN MCCALLUM) CRD#: 2222586, formerly with LPL Financial LLC of Birmingham, Alabama, submitted a Letter of Acceptance, Waiver, and Consent (AWC) in June of 2021, for the purpose of proposing a settlement of the alleged rule violations and consented to the following sanctions: A one-year suspension from associating […]

On August 2, 2021, a three-person Financial Industry Regulatory Authority (FINRA) arbitration panel ruled in favor of an investor who accused Morgan Stanley & Co. of unauthorized trading in Apple stock.  FINRA ordered Morgan Stanley to pay back her taxes, brokerage fees and more. FINRA arbitrators ordered Morgan Stanley & Co. to pay $640,747 to […]

The Phillips Edison & Company, Inc. (PECO), is an internally managed real estate investment fund (REIT). PECO is one of the nation’s largest owners and operators of grocery-anchored shopping centers.  PECO owned equity interests in 300 real estate properties, including 278 owned real estate properties and 22 shopping center properties owned through two unconsolidated joint […]