FINRA BrokerCheck shows that investors filed disputes about Joseph Comiskey Jr. [CRD: 2760646, Ronkonkoma, New York]. His previous employers include Spartan Capital Securities LLC and K.C. Ward Financial. Notably, investor allegations against Comiskey include misrepresentation and breach of fiduciary duty. Below is an overview of the disclosures involving the securities broker.
A Spartan Capital Securities LLC client filed FINRA Arbitration No. 19-00789 regarding Joseph Comiskey. Namely, the client accused Comiskey of misrepresentation, breach of fiduciary duty, and negligence, and particularly in transactions involving stocks and options. The settlement on May 21, 2020, resulted in a payment of $10,500 to the client.
A K.C. Ward Financial client raised concerns about Joseph Comiskey's sales practices through FINRA Arbitration No. 15-3359. The client alleged speculative trading by Comiskey, primarily in over-the-counter equities. On May 30, 2017, K.C. Ward Financial settled the matter by compensating the client $140,000.
Another K.C. Ward Financial client accused Joseph Comiskey of failing to place a stop-loss order, leading to losses in over-the-counter equities. The firm resolved this issue by agreeing to a settlement of $16,000 on March 18, 2010.
If you've suffered losses due to Joseph Comiskey's actions, consider reaching out to Soreide Law Group. Contact them online or at (888) 760-6552 to explore the possibility of a recovery. Soreide Law Group, known for its commitment to investors nationwide, operates on a contingency fee basis, advancing all necessary costs. Despite the claims, Comiskey and his past employers maintain their denial of any sales practice violations.
Investors apparently complained about securities broker Debra Dawn Mesle (also known as Debra Dawn Hanebrink and Debbie Mesle) [CRD: 849766, Chesterfield, Missouri], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Mesle worked for Merrill Lynch from June 30, 2006, to January 2, 2026, and has worked for Huntleigh Securities Corporation and Huntleigh […]
Investors potentially experienced sales practice violations by securities broker Francis Stephen Zoracki, also known as Frank Zoracki [CRD: 1363103, Irwin, Pennsylvania], according to information disclosed through Financial Industry Regulatory Authority (FINRA) BrokerCheck. Zoracki has worked for Cambridge Investment Research Inc. since September 28, 2011; Cambridge Investment Research Advisors Inc. since September 28, 2011; and Duncan […]
Investors may have suffered financial harm by securities broker and investment adviser Loren James Grabau [CRD: 6984490, Santa Maria, California], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Grabau worked for Independent Financial Group LLC from April 8, 2019, to August 19, 2025. See below to discover more about Grabau’s disclosures. […]
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