The Financial Industry Regulatory Authority (FINRA) has fined and suspended CHARLES V MALICO (CHARLIE MALICO, CRD#: 1507282) formerly with Network 1 Financial Securities in Huntington Station, New York, in what may be the first FINRA enforcement action stemming from the Securities and Exchange Commission’s Regulation Best Interest, or Reg BI. According to FINRA’s BrokerCheck, a […]

Soreide Law Group is investigating possible investor claims against securities broker Christian Frank Lucchetto [CRD#: 4648994, Staten Island, NY]. Lucchetto has worked for (1) Arive Capital Markets since 2019; (2) First Standard Financial Company from 2016 to 2019; and (3) Cape Securities Inc. from 2011 to 2016. Evidently, Financial Industry Regulatory Authority (FINRA) sanctioned the […]

Soreide Law Group is investigating possible investor claims against securities broker Fariba Zehtabian Madison [CRD#: 1178259, Los Alamitos, CA]. Zehtabian has worked for (1) Western International Securities from 2012-Present; (2) U.S. Bancorp Investments from 2006-2012; and (3) Citicorp Investment Services from 2005-2006. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that Western International Securities investors […]

Soreide Law Group is investigating possible investor claims against securities broker Allyson Jo Trantum [CRD#: 2896970, Temecula, CA]. Trantum has worked for J.W. Cole Advisors Inc. from 2018-Present and LPL Financial LLC from 2016-2018. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that a J.W. Cole Financial client disputed Trantum’s sales practices and that LPL […]

The Financial Industry Regulatory Authority (FINRA) reports allegations of sales practice violations by securities broker John Sebastion Cangialosi [CRD#: 3273830, New York, NY]. Cangialosi worked for (1) S.W. Financial from 2019 to 2022; (2) Worden Capital Management LLC from 2016 to 2019; and (3) Legend Securities Inc. from 2013 to 2016. Evidently, one or more […]

Soreide Law Group is investigating possible investor claims against securities broker Betsy Lou Whipple [CRD#: 2703262, Hiko, NV]. Whipple worked for (1) Newbridge Financial Services as a financial advisor from 2018-Present; (2) Newbridge Securities Corporation as a securities broker from 2018-Present; and (3) Greenleaf Financial Network LLC as a financial advisor from 2017-2018. Specifically, Financial […]

Investors have come forward with complaints about securities broker James Patrick Shawver, AKA Jim Shawver [CRD#: 2571148, Boynton Beach, FL]. Shawver worked for (1) Blackridge Asset Management LLC from 2020-Present as a financial advisor; (2) Peak Brokerage Services LLC from 2020-Present as a securities broker; (3) Independent Financial Group from 2013-2020 as a securities broker […]

Soreide Law Group is investigating possible investor claims against securities broker Michael Anthony Fahsholtz [CRD#: 2057306, Wenatchee, WA]. Fahsholtz worked for Stifel Nicolaus & Company Inc. from 2011-2020 and Wells Fargo from 2005-2011. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that Stifel Nicolaus & Company investors disputed Fahsholtz’s sales practices. Evidently, investors allege sales […]

Investors have come forward with complaints about securities broker Rodrigue Lors AKA Rodrique Lors [CRD#: 4379214, Westbury, NY]. Lors worked for (1) Wilmington Capital Securities LLC from 2017-Present and (2) National Securities Corporation from 2007-2017. Evidently, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that one or more National Securities Corporation investors disputed the sales practices […]