Investors have reportedly disputed the sales practices of securities broker Richard James Jirinec (also known as Richard James Jirinee) [CRD: 2580370, Jupiter, Florida], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Richard Jirinec has been registered with PHX Financial Inc. since March 5, 2015. Investors are encouraged to Investors are encouraged to continue reading to discover more about disclosures involving this securities broker.
Particularly, on December 18, 2025, a PHX Financial Inc. client filed FINRA Arbitration No. 25-02742 about Richard Jirinec. Primarily, the client alleged that Jirinec may have violated Regulation Best Interest obligations, possibly involving the broker making unsuitable recommendations during the account period of June 1, 2020 through December 2022. For this reason, the client allegedly sustained damages connected to stocks. Therefore, the client requested $1,180,000 in compensation from PHX Financial Inc. or Jirinec. BrokerCheck shows that this arbitration awaits a resolution.
Specifically, a client of Whitehall Wellington Investments Inc. contested Richard Jirinec’s sales practices by filing NASD Case No. 00-03613. Allegedly, Jirinec engaged in unauthorized trading. It appears that Jirinec allegedly caused the client to sustain damages linked to over-the-counter equities. Consequently, Whitehall Wellington Investments Inc. opted to settle the matter on January 28, 2001, by compensating the client in the amount of $7,500.
Are you worried about investments you made through Richard Jirinec? Get in touch with Soreide Law Group at (888) 760-6552 or online and consult with a securities lawyer regarding a possible recovery of your investment losses. Soreide Law Group has recovered losses for hundreds of clients throughout the country. Also, the firm works on a contingency fee basis and advances all costs. Jirinec and brokerage firms Jirinec worked for deny any 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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