Soreide Law Group is investigating possible investor claims against securities broker Chris Polinaire (CRD: 4330879, Hauppauge, NY). Evidently, FINRA sanctioned the securities broker, who worked for Network1 Financial Securities Inc. Allegedly, Polinaire engaged in excessive trading. Here is a brief summary of FINRA’s allegations against Polinaire.
Evidently, on November 1, 2022, FINRA issued Case: 2020066685701, sanctioning Chris Polinaire for infractions. Specifically, Polinaire received an eight-month suspension as a securities broker and a $7,500 fine. Notably, FINRA claims that Polinaire engaged in excessive trading.
Mainly, FINRA indicates that between August 2017 and March 2020, during the time that he was registered with Arive Capital Markets, Polinaire unsuitably and excessively traded three client’s accounts. Specifically, in one client’s account, Polinaire recommended that an 82-year-old client place 58 trades – with most of them executed on margin. While the clients had an average month-end equity of roughly $75,334, Polinaire recommended transactions with a total principal value of $2,221,255. This resulted in an annualized cost-to-equity ratio of 65.34 percent and an annual turnover rate of 29.49. The client paid $44,243 in fees and commissions. Polinaire violated FINRA Rules 2010 and 2111 as a result.
Have you experienced damages because of Chris Polinaire? You should contact Soreide Law Group at (888) 760-6552 and speak with a securities attorney about a potential recovery of your investment losses. Soreide Law Group, who has successfully recovered money for hundreds of investors in the United States, can review your situation and explain your legal options. Also, the firm represents clients on a contingency fee basis and advances all costs. Polinaire and brokerage firms Polinaire worked for deny any and all allegations of sales practice violations.
Pending customer claims on BrokerCheck name Michael Graham (CRD 3263494) and list LPL Financial as the firm. Each claim is pending and unproven, and no arbitrator has ruled on any of them. The customers allege that Graham misrepresented guaranteed principal and returns on a secured loan related to a real estate deal.
An SEC decision involving Titan Securities (CRD 131392) of Plano, Texas became final on August 7, 2026, according to FINRA's October 2026 Disciplinary and Other FINRA Actions report. The decision fined the firm $50,000. The record lists the firm as JTA Securities Management, Inc. dba Titan Securities.
Every settled customer dispute on Peter Maller's BrokerCheck report names Lincoln Financial as the firm. Maller holds CRD number 2322403. The newest dispute, filed on March 5, 2024, settled on August 15, 2024 for $12,500 against alleged damages of $50,000. The claimants alleged that the representative represented an oil and gas investment as safe.
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