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June 18, 2024
KEVIN E DAVIS Barred by FINRA

On May 8, 2024, KEVIN ELIJAH DAVIS (KEVIN E DAVIS), was barred by FINRA from acting as a broker or otherwise associating with a broker/dealer firm, according to FINRA’s BrokerCheck. Davis was registered as a broker and as an investment advisor. KEVIN E DAVIS was with LPL FINANCIAL INC of Dallas, Texas from 09/08/2009 until […]

July 23, 2024
Christopher McCoy In Calton Client Complaints

Investors potentially sustained damages through securities broker Christopher Joseph McCoy [CRD: 4113108, Montclair, New Jersey], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Not only that, but FINRA sanctioned him for unauthorized trading. Evidently, Christopher McCoy worked for Calton Associates Inc. from August 31, 2012, to December 20, 2022. Below, you’ll find a […]

July 22, 2024
Brian Freeman In Securian Clients’ Complaints

Investors possibly experienced losses because of securities broker Brian Lee Freeman [CRD: 1379227, Newport Beach, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Brian Freeman worked for Securian Financial Services Inc. from June 23, 1988, to August 10, 2023. Here’s an overview of Brian Freeman’s disclosures. Securian Financial Services Inc. Investor […]

July 22, 2024
Andrew Komarow Barred By SEC, FINRA

Multiple securities regulators have barred securities broker Andrew M. Komarow [CRD: 5838564, West Hartford, Connecticut], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Andrew Komarow worked for LPL Financial LLC from April 26, 2016, to December 22, 2022, and for Royal Alliance Associates Inc. from December 13, 2022, to January 4, 2023. […]

July 21, 2024
Andrew Egber Barred By FINRA, Involved In Wells Fargo Client Disputes

Investors complained about securities broker Andrew Joseph Egber (also known as Andy Joseph Egber), and Financial Industry Regulatory Authority (FINRA) barred him from the securities industry [CRD: 1894585, Bethesda, Maryland, according to disclosures on FINRA BrokerCheck. Evidently, Andrew Egber worked for Steward Partners Investment Solutions LLC from May 27, 2022, to April 18, 2024, Raymond […]

July 21, 2024
Tony Bevilacqua Facing Ameriprise Client Disputes

Investors possibly experienced losses because of securities broker Albert Anthony Bevilacqua, also known as Tony Bevilacqua [CRD: 2656029, Boca Raton, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Tony Bevilacqua joined Ameriprise Financial Services LLC on May 9, 2001. Here’s an overview of the securities broker’s disclosures. Ameriprise Financial Services LLC […]

July 20, 2024
Rich Ceffalio Involved In LPL Financial Client Complaints

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker JR Richard Allen Ceffalio Jr. (also known as Rich Ceffalio) [CRD: 2619565, Arlington Heights, Illinois], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Richard Ceffalio worked for LPL Financial LLC from November 15, 2019, to […]

July 19, 2024
Legal Entity Domestication

Legal Entity Domestication refers to the process by which a company transfers its charter from one jurisdiction to another without interrupting its business operations. This contrasts with dissolving an entity and forming a new one; domestication aims to maintain the same legal entity while changing its jurisdiction of incorporation. What are the Common Reasons for […]

July 7, 2024
William Collins Facing Morgan Stanley Client Disputes Over Unauthorized Trading

Investors might have sustained losses due to securities broker William Lief Collins (also known as Bill Collins) [CRD: 2787822, Farmington Hills, Michigan], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, William Collins worked for Morgan Stanley from May 28, 2010, to September 21, 2023. Keep reading to learn more about the securities […]

July 6, 2024
William Isaacson Facing Peak, IFG Client Disputes Concerning Advice

Investors possibly experienced losses because of securities broker William David Isaacson [CRD: 2418034, Boynton Beach, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, William Isaacson worked for Peak Brokerage Services LLC from September 11, 2020, to December 31, 2023, and Independent Financial Group LLC from May 29, 2013, to September 11, […]

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