Soreide Law Group is looking into possible investor claims against securities broker Patrick Anthony Perugino (also known as Pat Perugino) (CRD: 6363411, New York, New York). Particularly, FINRA sanctioned the securities broker, who worked for Spartan Capital Securities LLC. Allegedly, Perugino engaged in discretionary trading. Here is a brief summary of FINRA’s allegations against Perugino.
Particularly, FINRA issued Case: 2020067464701 on December 5, 2022, sanctioning Patrick Perugino for infractions. Notably, FINRA says that the securities broker did not follow procedures relating to discretionary trading. Not only that, but he failed to disclose this manner of trading on compliance attestations. Therefore, Perugino agreed to pay a $5,000 fine and serve a one-month suspension as securities broker.
Also, a client of David Lerner Associates Inc. contested Patrick Perugino’s sales practices by filing FINRA Arbitration: 20-03814. Allegedly, Perugino failed to supervise registered representatives, breached a fiduciary duty, and engaged in unauthorized trading. It appears that Perugino possibly caused the client to sustain damages on stocks. Therefore, FINRA Arbitrators issued an Award dated July 16, 2021 compelling Perugino to compensate the client in the amount of $6,427 in compensatory damages.
Also, a client of Spartan Capital Securities LLC contested Patrick Perugino’s sales practices, according to a complaint dated April 1, 2020. Supposedly, the client could not reach the securities broker regarding missing funds from their account. Therefore, the client requested compensation from Spartan Capital Securities LLC or Perugino in the amount of $50,000. However, the securities firm closed this complaint without resolution.
Also, on November 16, 2017, former employer, David Lerner Associates Inc, disaffiliated with Perugino. Evidently, David Lerner Associates Inc alleged that Perugino engaged in unauthorized trading.
Have you experienced damages due to the actions of Patrick Perugino? If you have, then reach out to Soreide Law Group at (888) 760-6552 and speak with a securities attorney about a possible recovery of your investment losses. Soreide Law Group, who has successfully recovered losses for investors across the United States, represents clients on a contingency fee basis and advances all costs. Perugino and brokerage firms Perugino worked for deny any and all allegations of sales practice violations.
RUDY ANGUIANO is currently registered both as a broker and as an investment advisor with ALEXANDER CAPITAL LP and ALEXANDER CAPITAL WEALTH MANAGEMENT LLC of Red Bank, New Jersey since 1/9/2026. Anguiano was previously listed with LPL Financial of Brea, California from 04/04/2022 - 12/18/2025. In addition, he was listed with AMERIPRISE FINANCIAL SERVICES LLC […]
MARIO L MARTINEZ formerly of MERRILL LYNCH, PIERCE, FENNER & SMITH INC of Ft. Lauderdale, FL was permanently barred by FINRA from acting as a broker or otherwise associating with a broker/dealer firm on 5/1/2025. Martinez was registered as a broker with MERRILL LYNCH, PIERCE, FENNER & SMITH INC of Ft. Lauderdale, FL from 10/23/2015 […]
Investors have reportedly disputed the sales practices of securities broker Ronald Albert Gelok Jr. (also known as Ron Gelok) [CRD: 1403352, Naples, Florida], given the public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Gelok worked for Ronald Gelok Associates LLC from November 17, 2017, to the present, and AAG Capital Inc. from July 8, […]
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