Soreide Law Group, PLLC, a Securities Arbitration Law Firm, (888) 760-6552, obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, May, 2013.”
Andrew Lewis Pittman (CRD #732632, Registered Representative, Deerfield Beach, Florida)
was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Pittman consented to the described sanction and to the entry of findings that he failed to provide on-the-record testimony during FINRA’s investigation regarding allegations that he improperly used an elderly customer’s funds and was appointed power of attorney for the customer. (FINRA Case #2011029315301)
This broker is currently not registered with FINRA. According to FINRA's BrokerCheck, Andrew Pittman was previously registered with FINRA at the following brokerage firms:
SAMMONS SECURITIES COMPANY, LLC
CRD# 115368
DEERFIELD BEACH, FL
11/2011 - 03/2013
QUESTAR CAPITAL CORPORATION
CRD# 43100
DEERFIELD BEACH, FL
08/2011 - 10/2011
ALLSTATE FINANCIAL SERVICES, LLC
CRD# 18272
CORAL SPRINGS, FL
06/2007 - 08/2011
This ends the information from FINRA’s website.
If you have experienced a financial loss due to your stockbroker or financial advisor’s recommendations, call Soreide Law Group for a free consultation with an attorney at: 888-760-6552.
Artificial intelligence stocks have attracted tremendous investor interest, but many emerging AI companies also carry significant risk. If your financial advisor recommended shares of Blaize Holdings, Inc. (NASDAQ: BZAI) without fully explaining those risks, you may have options to recover your investment losses through FINRA arbitration. Blaize Holdings develops edge AI computing technology for commercial […]
Federal regulators have settled fraud charges against Phoenix American Hospitality, a Dallas-based manager of hotel investment funds, and its president, William Lee "Perch" Nelson. According to the Securities and Exchange Commission (SEC), the company raised approximately $86 million from more than 2,000 retail investors. They allegedly made false statements about the funds' hotel holdings and […]
JOHN LAWRENCE ALEX (JOHN L ALEX) has been registered both as a broker and financial advisor with MORGAN STANLEY of Morristown, New Jersey, since11/15/2011. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, JOHN L ALEX has 36 years of experience in the securities industry and has been registered with 4 firms. Alex […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com