In June 2024, a customer claim naming Amir Navab (CRD 2437020) settled at Great Gable Wealth Management for $180,000. His BrokerCheck report also shows settled disputes at UBS Financial Services, starting in 2004.
Soreide Law Group obtained the following information from FINRA’s website under, “Disciplinary and Other FINRA Actions” from March 2017:
James Carolan Speno (CRD #431912, New York, New York)
was assessed a deferred fine of $5,000 and suspended from by FINRA for 30 business days for allegedly exercising discretionary power in client accounts in approximately 1,000 transactions.
FINRA’s findings stated that in certain circumstances, James Speno’s member firm allowed the use of discretion with both the firm’s and the client’s prior approvals, but Speno failed to obtain those approvals.
The suspension was in effect from January 3, 2017, through February 14, 2017.
(FINRA Case #2015045057901)
According to FINRA’s BrokerCheck, James Speno has had 45 years of securities experience and has been listed with 11 firms. He is currently not registered in the securities industry. The last three firms he was with are listed below:
08/09/2013 - 04/08/2015 MORGAN STANLEY - NEW YORK, NY
07/16/2008 - 08/12/2013 OPPENHEIMER & CO. INC. - NEW YORK, NY
If you were a client of James Speno of New York and experienced losses due to his recommendations or actions, call Soreide Law Group and speak to a lawyer regarding the possible recovery of your financial loss at: 888-760-6552.
Soreide Law Group represents clients nationwide before FINRA and we operate on a contingency fee basis.
In June 2024, a customer claim naming Amir Navab (CRD 2437020) settled at Great Gable Wealth Management for $180,000. His BrokerCheck report also shows settled disputes at UBS Financial Services, starting in 2004.
Centaurus Financial appears as the firm on a pending customer arbitration against Brett Ewing (CRD 2904608). The customer filed it on September 14, 2026. According to BrokerCheck, the customer alleges that Ewing recommended unsuitable, illiquid investments from February 2016 through February 2019. Ewing denies the allegations, and no arbitrator has ruled.
FINRA found that Eric Kleiner (CRD 4135180) refused to provide documents and information it requested during an investigation. Without admitting or denying the findings, Kleiner consented to the sanction and to the entry of findings.
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