SEC Charges Midtown Partners Broker Kevin Gillespie With Fraud Kevin Patrick Gillespie (CRD #2485051, New York, New York) has been a registered representative and part-owner of Midtown Partners from April 27, 2016 to August 10, 2018. He is also the chief executive officer of Arias Intel Corp. (ASNT) – a digital media company headquartered in […]

Customers File Suit Against Popular Securities For Unsuitable Trading Arturo Miguel Valldejuly Sastre (CRD# 2091688, San Juan, Puerto Rico) has been a financial consultant of Popular Securities LLC since May 21, 1997. Sastre disclosed on Financial Industry Regulatory Authority (“FINRA”) BrokerCheck that his activities have given rise to a pending customer-initiated investment-related arbitration dated July […]

On September 5, 2018, JUERGEN WEBER (CRD#: 2617323), was barred by the Financial Industry Regulatory Authority, Inc. (FINRA) from acting as a broker or otherwise associating with a broker-dealer firm. Without admitting or denying FINRA’s findings, Weber consented to the sanction and to the entry of findings that he failed to appear and refused to […]

Soreide Law Investigating Claims On Behalf Of 1 Global Investors Soreide Law Group is investigating claims on behalf of those who invested in 1 Global Capital, LLC – a private company headquartered in Hallandale Beach, Florida. On September 7, 2018, the Securities and Exchange Commission (“SEC”) filed a Complaint against 1 Global and its previous […]

The Financial Industry Regulatory Authority, Inc. (FINRA) has ordered Trustmont Financial Group, Inc. to pay one of their clients over $1 million in damages. The client had accused Trustmont Financial Group of breach of fiduciary duty, fraud and negligence.  This case was related to two 1035 annuity exchanges and a private real estate investment trust […]

ERNEST JULIUS ROMER III, a 56 year-old former broker from Shelby Township, Michigan, was registered with CoreCap Investments, Inc. of Sterling Heights, Michigan, from 2012-2017, is facing charges from the SEC that he allegedly defrauded his brokerage clients,  including many elderly and unsophisticated investors, out of more than $2.7 million in an investment scam over […]

SEC Brings Fraud Charges Against FCG Advisors Broker Michael Bressman SEC Brings Fraud Charges Against FCG Advisors Broker Michael Bressman Michael Allan Bressman (CRD#: 873973, Chatham, New Jersey) has been a registered representative of FCG Advisors, LLC from February 4, 2000 to May 16, 2018. The Securities and Exchange Commission (“SEC”) filed a Complaint against […]

SEC Files Fraud Charges Against Windsor Street Broker Jovannie Aquino Jovannie Aquino (CRD#: 4876661, New York, New York) is a previous registered representative of Windsor Street Capital, LP (May 29, 2014 to November 17, 2017). The Securities and Exchange Commission (“SEC”) charged Aquino with defrauding Windsor Street Capital investors by way of his excessive trading. […]

WILLIAM ANDREW HIGHTOWER (BILL HIGHTOWER), a former broker from Houston, Texas, who was formerly with UBS Financial Services Inc. and Legacy Asset Securities, Inc. was barred by FINRA from acting as a broker or otherwise associating with a broker-dealer firm in 2015.  Hightower, according to FINRA’s BrokerCheck, was barred because he failed to respond fully to […]