STEPHANIE LISA HAYES (Lisa Hayes), a former broker/financial advisor with COMMONWEALTH FINANCIAL NETWORK, INC., of South Nyack, New York, recently had a “Customer Dispute” filed against her on October 31, 2024. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, the allegations against STEPHANIE LISA HAYES reported in the “Customer Dispute” are as […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Gregory DePaul Whelan (also known as Gregory Whelan) [CRD: 5247677, Fort Lauderdale, Florida]. Gregory Whelan previously worked for UBS Financial Services Inc. from January 2011 to July 2011 and Morgan Stanley from August 2011 to May 2013. Since April 2013, he has been registered […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Jae Hun Kim (also known as Jae Kim) [CRD: 4620963, Cortlandt Manor, New York]. Jae Kim worked for E1 Asset Management, Inc. from February 2003 to March 2024, a tenure spanning 21 years. Recent disclosures reveal concerns about Kim’s conduct as both financial advisor […]

Soreide Law Group, based in South Florida, is currently investigating claims regarding Miami-based, EVA MARINA OVEJERO, who is currently registered both as a broker and an investment advisor with RAYMOND JAMES & ASSOCIATES, INC at 600 Brickell Avenue in Miami, Florida. Ovejero has been registered with Raymond James since June of 2023.  Before Raymond James, […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Sanjay Mathur (also known as Sanjay Mather) [CRD: 1144243, Irvine, California]. Mathur has over 41 years of experience in the financial industry, working for nine different firms during his career. Notably, Mathur’s employment history includes his current registration as financial advisor / securities broker […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Victor Alan Lessinger (CRD#: 830821) previously of Boca Raton, Florida. Lessinger’s career spans over 44 years, with employment at nine firms, including Colorado Financial Service Corporation from October 2012 to April 2023. Recent disclosures highlight concerns about Lessinger’s conduct, including regulatory actions and client […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker James Roy Paige [CRD: 1726609, Vero Beach, Florida]. James Paige worked in the securities industry for 36 years, spanning four firms. Since October 31, 2008, he has been employed by Wells Fargo Clearing Services, LLC and Wells Fargo Advisors in Vero Beach, Florida. Recent […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker George Apolonides (also known as George Apollo) [CRD: 3101928, Garden City, New York]. Apolonides, previously registered as a broker, has over 23 years of experience in the securities industry, with affiliations at seven firms. Most recently, he worked for Spartan Capital Securities, LLC from […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Kabir Gangahar [CRD: 4280828, Omaha, Nebraska]. Kabir Gangahar worked United Planners' Financial Services of America from September 2012 to December 2017. His most recent employment was with KMS Financial Services, Inc. from January 2018 to November 2019. Recent disclosures highlight concerns about Gangahar’s conduct, […]