Financial Industry Regulatory Authority (FINRA) sanctioned securities broker Imdadur Rahman (also known as Gino Rahman) [CRD: 2476187, Troy, Michigan], according to disclosures on BrokerCheck. Evidently, Imdadur Rahman worked for L.M. Kohn Company from October 30, 2023, to June 10, 2024, and for Merrill Lynch Pierce Fenner Smith Inc. from November 11, 2005, to October 19, […]

Investors possibly experienced losses because of securities broker Herbert C. White [CRD: 3125223, Greenwood Village, Colorado], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Herbert White worked for Woodbury Financial Services Inc. as a securities broker from April 4, 2003, to January 19, 2024. Woodbury Financial Services Inc. Investor Accused White Of […]

Financial Industry Regulatory Authority (FINRA) brought a complaint against securities broker Gary Francis Harpe [CRD: 2983634, Farmington Hills, Michigan] for obstructing an investigation, according to disclosures on BrokerCheck. Evidently, Gary Harpe worked for PFS Investments Inc. from February 5, 1998, to January 10, 2023. Here’s an overview of the securities broker’s disclosures. FINRA Charged Harpe […]

Financial Industry Regulatory Authority (FINRA) barred securities broker Gabriel Ruiz [CRD: 7426643, Roseland, New Jersey], according to disclosures on BrokerCheck. Evidently, Gabriel Ruiz worked for ADP Broker-Dealer Inc. from December 20, 2021, to January 24, 2023. Below, you’ll find a summary of Ruiz’s disclosures. FINRA Barred Ruiz For Refusing To Produce Documents In Investigation Particularly, […]

Soreide Law Group has filed a FINRA arbitration on behalf of our clients (Claimants) against: AMERIPRISE FINANCIAL SERVICES, LLC, and their registered representative, NICHOLAS PAUL STAMATIS (Respondents). According to the lawsuit, the Claimants are a married couple, retired, and living in Tennessee. The Claimants were introduced to AMERIPRISE broker, NICHOLAS PAUL STAMATIS in approximately 2017. […]

Financial Industry Regulatory Authority (FINRA) filed a complaint alleging misuse of client funds by securities broker David Wei Wong [CRD: 4689031, Los Angeles, California]. Not only that, but a client complained about him. Evidently, David Wong joined Integrity Brokerage LLC on April 3, 2020, and Integrity Advisers LLC on January 21, 2021. The following information […]

Investors might have sustained losses due to securities broker Christopher Steven Coffey [CRD: 6850994, Johnson City, Tennessee], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Christopher Coffey worked for Allstate Financial Services LLC from November 25, 2019, to December 15, 2023, and for NYLIFE Securities LLC from April 10, 2018, to December […]

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 […]

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 […]