The Financial Industry Regulatory Authority (FINRA) has barred Christopher J Carpenter, a former Major League Baseball pitcher who became a financial advisor, formerly with LPL Financial in Charlotte, North Carolina, from the industry for allegedly failing to provide information relating to an investigation of unauthorized real estate investments, according to a recent article in Barron’s. […]

Investors have come forward with complaints about securities broker Thomas Michael Rauchegger (CRD: 5156496, Maitland, Florida). Evidently, the securities broker, who worked for Kalos Capital Inc., discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Kalos Capital Inc. clients allege that Rauchegger made unsuitable recommendations. For more on these disclosures about Rauchegger, see […]

Soreide Law Group is investigating possible investor claims against securities broker Joel Plasco (CRD: 3220164, Woodmere, New York). Notably, FINRA sanctioned the securities broker, who worked for Dalmore Group LLC. Allegedly, Plasco engaged in private securities transactions. Here is a brief summary of FINRA’s allegations against Plasco. Plasco Sanctioned By FINRA For Private Securities Transactions […]

Soreide Law Group is investigating possible investor claims against securities broker Daniel Pita (CRD: 6759879, Southwest Ranches, Florida). Notably, FINRA sanctioned the securities broker, who worked for NYLife Securities LLC. Allegedly, Pita failed to provide information and documents to FINRA when it investigated him. Supposedly, FINRA tried to determine if he engaged in impermissible outside […]

Investors have come forward with complaints about securities broker Jeffrey Adam Miller (CRD: 4251936, Greenwich, Connecticut). Evidently, the securities broker, who worked for UBS Financial Services Inc., discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, UBS Financial Services Inc. clients allege that Miller made unsuitable recommendations. For more on these disclosures about […]

Soreide Law Group is investigating possible investor claims against securities broker Roman Meyerhans (CRD: 4587943, Miami, Florida). Notably, FINRA sanctioned the securities broker, who worked for Raymond James Associates Inc. Allegedly, Meyerhans made unauthorized communications with clients regarding securities business. Here is a brief summary of FINRA’s allegations against Meyerhans. FINRA Sanctions Meyerhans For Unauthorized […]

Soreide Law Group is investigating possible investor claims against securities broker Carlos Leston (also known as Jose Carlos Leston) (CRD: 3021614, Weehawken, New Jersey). Notably, FINRA sanctioned the securities broker, who worked for LPL Financial LLC. Allegedly, Leston failed to provide information and documents to FINRA when it investigated potential FINRA rule violations. Here is […]

Soreide Law Group is investigating possible investor claims against securities broker Nickolay V. Kukekov (CRD: 4981423, New York, New York). Notably, FINRA sanctioned the securities broker, who worked for Paulson Investment Company LLC. Allegedly, Kukekov engaged in an undisclosed outside business activity. Here is a brief summary of FINRA’s allegations against Kukekov. Kukekov Sanctioned By […]

Investors have come forward with complaints about securities broker David Kimbler (CRD: 1132791, Ferndale, Washington). Evidently, the securities broker, who worked for Securities America Inc., discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Securities America Inc. clients allege that Kimbler withdrew client funds without authorization and engaged in unauthorized trading. For more […]