Investors might have sustained losses through securities broker David William Reimer [CRD: 2350952, New York, New York], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Reimer worked for National Securities Corporation in Mineola, New York, from March 13, 2015, to August 8, 2017, then for Aegis Capital Corp. in New […]

One or more investors possibly experienced losses because of securities broker William Christopher Duffy (also known as Will Duffy) [CRD: 6726333, Lone Tree, Colorado], according to publicly available information on FINRA BrokerCheck. Evidently, Duffy worked for Innovation Partners LLC from August 9, 2022, to January 3, 2024, Sharenett Securities LLC from February 13, 2022, to […]

Rule 144, a crucial part of the Securities Act of 1933, provides a “safe harbor” for selling restricted or control securities to the public without undergoing the formal SEC registration process—provided certain conditions are met. Core Concepts Restricted SecuritiesThese are shares obtained through private transactions directly from the issuer and not registered with the SEC. […]

Investors potentially experienced sales practice violations due to securities broker Vasilios Takos (also known as Bill Takos and Billy Takos) [CRD: 2500839, Garden City, New York], based on public information found on FINRA BrokerCheck. Evidently, Takos worked for Aegis Capital Corp. from September 1, 2017, to April 1, 2024, and joined Dominari Securities LLC on […]

Investors might have sustained losses through securities broker John Raymond Hebner (also known as Jack Hebner) [CRD: 3258824, Hayden, Idaho], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Hebner worked for Moloney Securities Co. from July 2, 2003 to December 31, 2023. Keep reading to learn more about Hebner’s disclosures and the […]

Investors might have sustained losses due to securities broker Eugene Cebron Thompson IV (also known as Bron Thompson and EC Thompson IV) [CRD: 4350479, Dunn, North Carolina], according to public information found on FINRA BrokerCheck. Evidently, Thompson joined Capital Investment Group Inc. and Capital Investment Advisory Services LLC on February 13, 2014. Keep reading to […]

Investors reportedly complained about securities broker James Earl Williams [CRD: 1631008, Boca Raton, Florida], based on public information found on FINRA BrokerCheck. Evidently, Williams joined Newbridge Securities Corporation on June 9, 2010, and was previously a registered investment adviser. Keep reading to learn more about the disclosures concerning James Williams. James Williams Disclosed Negligence, Breach […]

Soreide Law Group has filed a FINRA arbitration on behalf of their clients (Claimants) against: WESTERN INTERNATIONAL SECURITIES, INC (Respondent). The Claimants, a married couple, one retired and one working part time, reside in Idaho. The lawsuit states that WESTERN INTERNATIONAL SECURITIES' (WIS) former registered representative, Lisa-Ann Tomiko Nouchi (Lisa Nouchi), has been friends with the […]

Investors potentially experienced sales practice violations because of securities broker Michael Frederick Ginestro (also known as Mike Ginestro) [CRD: 2468911, Los Angeles, California], according to public information on FINRA BrokerCheck. Ginestro joined Merrill Lynch on October 7, 2020, in Los Angeles, California. Before that, he worked for MML Investors Services LLC from February 3, 2020 […]