THOMAS GREGORY SCHEIMAN (THOMAS G SCHEIMAN) is currently listed as a broker since 1990 and as a financial advisor since 2003 with INDEPENDENCE CAPITAL CO., INC. of Parma, Ohio.  SCHEIMAN was recently fined $5,000.00, ordered to pay a disgorgement of $2,600.00, and was suspended for two months by FINRA. According to the FINRA report, THOMAS […]

Investors potentially incurred losses because of securities broker Guy Anthony Harrigan [CRD: 1817525, Boulder, Colorado], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Harrigan worked for Lion Street Financial LLC from October 6, 2016, to September 18, 2023, and Triad Advisors Inc. from April 1, 2013, to October 7, 2016. See the […]

FINRA barred securities broker Jihoon L. Park [CRD: 6535514, Fairfax, Virginia], according to publicly available information on FINRA BrokerCheck. Evidently, Jihoon Park worked for MML Investors Services LLC from April 9, 2016, to December 31, 2022. Read below for details about Jihoon Park’s regulatory and client dispute disclosures. FINRA Sanctioned Park For Failure To Comply […]

Investors have reportedly disputed the sales practices of securities broker Samuel David Frankfort [CRD: 2773755, Houston, Texas], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Frankfort worked for Rockefeller Financial LLC from May 22, 2020, to February 15, 2024, and for Raymond James & Associates Inc. from September 6, 2016, to […]

Investors possibly experienced sales practice violations by securities broker Vincenzo Pietro Garganese (also known as Vincenzo Hart) [CRD: 6760844, Portland, Maine], according to disclosures on FINRA BrokerCheck. Evidently, Garganese has been registered with MML Investors Services LLC since April 22, 2017, serving clients from the firm’s Portland and Falmouth, Maine offices. Keep reading to learn […]

PHILLIP CURTIS ANDERSON (PHILLIP C ANDERSON) was fined $10,000.00, ordered to pay disgorgement of $8,280.00, and was suspended for five months by FINRA. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, the “Regulatory” disclosure dated 5/13/2025 states the following: “Without admitting or denying the findings, Anderson consented to the sanctions and to […]

Investors have reportedly disputed the sales practices of securities broker Thomas Gary Justice [CRD: 2786145, San Mateo, California], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Thomas Justice has been registered with Emerson Equity LLC in San Mateo, California, since November 19, 2020. Previously, he worked for Conover Capital Management in Bellevue, […]

Soreide Law Group filed a FINRA arbitration on behalf of our client (Claimant) against: WESTERN INTERNATIONAL SECURITIES, INC. (WIS). (Respondent) The Claimant is in his late sixties and lives in California. On or about 2019, the Claimant was invited to a presentation on retirement income by a WESTERN INTERNATIONAL SECURITIES’ former broker. The lawsuit alleges […]

Investors potentially experienced sales practice violations due to securities broker Dustin Johnson Javier [CRD: 6025214, Bartlett, Illinois], according to publicly available information on FINRA BrokerCheck. Evidently, Javier worked for Ausdal Financial Partners Inc. from May 20, 2016, to December 31, 2021. Read below for details about Javier’s disclosures. Ausdal Financial Partners Inc. Investor Accused Javier […]