Latest Securities Lawyer News

Nicholas James Centis, also known as Nick Centis (CRD: 6187468), is a securities broker based in San Francisco, California. A client alleges that he made an unsuitable investment recommendation that caused losses, according to Financial Industry Regulatory Authority (FINRA) BrokerCheck disclosures. He worked for Stifel Nicolaus Company Incorporated from December 4, 2015, to October 26, […]

Securities broker Charles KC Chan (CRD: 2894827), of Lexington, Kentucky, is the subject of a client complaint involving possible investment losses, according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Chan worked for Avantax Investment Services from October 2, 1997, to September 5, 2025, and Avantax Advisory Services from July 29, 2024, to September […]

American Portfolios Financial Services Inc. (CRD: 18487), based in Holbrook, New York, was sanctioned by the Financial Industry Regulatory Authority (FINRA) over its supervision of unit investment trust (UIT) recommendations. The firm joined FINRA in 1987 and operated as a full-service broker before its combination with Osaic Wealth Inc. took effect on October 15, 2024. […]

Nini Wu (CRD: 6572622), a securities broker based in Kirkland, Washington, has worked for Morgan Stanley since January 31, 2020. According to Financial Industry Regulatory Authority (FINRA) BrokerCheck, clients have accused Wu of sale practice violations and have claimed damages. The disputes and their outcomes are described below. Morgan Stanley Client Alleged Misrepresentation On August […]

Daniel Gustavo Diaz (CRD: 1715827), a former securities broker last registered in Miami, Florida, was permanently barred from associating with Financial Industry Regulatory Authority (FINRA) member firms, according to BrokerCheck. He worked for Merrill Lynch from October 30, 1989, to March 21, 2025, and Raymond James Associates Inc. from May 5, 2025, to September 8, […]

Gary Talbot (CRD: 3059670), a securities broker based in New York, New York, has worked for Spartan Capital Securities LLC since February 29, 2016. According to Financial Industry Regulatory Authority (FINRA) BrokerCheck disclosures, he was sanctioned over a pattern of excessive trading that may have caused investor losses. Here’s more about the regulatory action against […]

FINRA sanctioned William Nicholas Pugh (CRD: 4855771), a former securities broker in Los Angeles, California. Pugh worked for Columbia Capital Securities Inc. from August 30, 2021, to September 15, 2024. His Financial Industry Regulatory Authority (FINRA) BrokerCheck record shows that the regulatory action against him concerned private securities transactions. Here is a closer look at […]

Investors might have sustained losses due to securities broker James Michael Poindexter [CRD: 1867899, Prescott, Arizona], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Poindexter has been registered with McDermott Investment Services LLC since January 3, 2019, and Independent Wealth Network Inc. since October 2, 2017. Keep reading to learn more about […]

FINRA fined and suspended Josiah D. Jennings (CRD: 6031164), a former securities broker in Los Angeles, California. Jennings worked for Columbia Capital Securities Inc. from October 4, 2021, to September 15, 2024, and his FINRA BrokerCheck disclosures describe a regulatory matter involving private securities transactions. Here is how the case unfolded. FINRA Fined And Suspended […]