Investors potentially experienced losses because of securities broker Andrew William Payne [CRD: 5607123, New York, New York], according to disclosures on FINRA BrokerCheck. According to the regulator, Andrew Payne worked for UBS Financial Services Inc. from October 12, 2011, to August 17, 2023, and Aegis Capital Corp. from August 2, 2023, to April 11, 2024. […]

Mergers and acquisitions (M&A) can be transformational for small business owners. Whether you are selling your business for maximum value or acquiring a new one for growth, the process is filled with legal complexities. Without proper legal oversight, small business owners risk financial liabilities, contract disputes, and regulatory setbacks. An experienced M&A attorney ensures the […]

WILLIAM WORTHEN KING (WILLIAM W KING, BILL KING) was recently fined $5,000.00 and suspended for 30 days by FINRA.  According to FINRA’s BrokerCheck, available to the public on FINRA’s website, WILLIAM W KING was previously registered both as a broker and as an investment advisor and is not currently registered with any FINRA firm. King was […]

What you’ll learn: Why early-stage legal protection is critical for startups, how securities lawyers help businesses avoid costly mistakes, and how legal counsel ensures compliance and investor confidence. Starting a business is exciting, but without the right legal foundation, it can quickly become risky. Founders often focus on growth and funding while overlooking legal compliance—until […]

RUSSELL EDWARD FIEGER (RUSS FIEGER, RUSSELL E FIEGER), according to FINRA’s BrokerCheck, available to the public on FINRA’s website, is currently registered as a a financial advisor with COLORADO FINANCIAL SERVICE CORPORATION of OVERLAND  PARK, KANSAS since 4/25/2024, and as a broker with CORNERSTONE SECURITIES LLC of OVERLAND PARK, KANSAS since 5/19/2006. Fieger was also […]

In a recent article from InvestmentNews, Bruce Kelly writes that a three-person FINRA arbitration panel awarded $92.2 million in damages to a group of nine investors in a high-risk trading strategy linked to a financial advisor shorting shares of Tesla Inc. The panel found UBS Financial Services liable for $69.1 million, or 75 percent the […]

MICHAEL FELIX GRECO (MICHAEL F GRECO) is currently registered as a broker with MML INVESTORS SERVICES, LLC of Coral Springs, Florida.  According to FINRA’s BrokerCheck, available to the public on FINRA’s website, Greco has been with MML since 4/6/2006.  MICHAEL F GRECO, according to BrokerCheck, has been in the securities industry for 41 years and […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Joseph Dewey Jackson (also known as Joe Jackson, Joey Jackson) [CRD#: 2351290, Fayetteville, North Carolina]. With over 31 years of experience, Jackson has been affiliated with ten different firms, currently operating as a General Securities Principal and Investment Adviser Representative at Capital Investment Group, […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Thomas Samuel Lisk (also known as Tom Lisk) [CRD#: 5010650, Bristol, Virginia]. Lisk has been in the financial industry for 19 years and has been associated with multiple firms throughout his career, including Center Street Securities, Inc., Arete Wealth Advisors, LLC, and currently, Realta […]