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.
Investors apparently complained about securities broker Christopher Wayne Dunlevy [CRD: 4909656, Flagstaff, Arizona], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Dunlevy has worked for Aspen Trail Wealth Management LLC since July 22, 2015. Keep reading to learn more about Dunlevy’s client dispute disclosures. Aspen Trail Client Accused Dunlevy Of Mismanagement Particularly, a […]
Investors potentially experienced sales practice violations by securities broker Jeremy Todd Lindquist [CRD: 3198807, Melbourne, Florida], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Lindquist has been registered as a securities broker with MML Investors Services LLC since August 12, 2011, and as a financial advisor with the firm since February […]
Anthony J. Falco Jr. [CRD: 5125793, Wayne, Pennsylvania] is a securities broker whose BrokerCheck record contains disclosures that may concern investors who experienced losses. Falco has been registered with J. Alden Associates Inc. since March 10, 2021, and with Alden Investment Group since May 3, 2024. He was previously registered with MPB Wealth Management LLC […]
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