FINRA Suspends Securities Broker Serge Parakhnevich, And Investors Dispute His Sales Practices FINRA BrokerCheck shows that FINRA sanctioned securities broker Serge Parakhnevich (“Serge Parker”) (CRD#: 5493064, New York, New York) for trading without authorization. Moreover, Parakhnevich is facing investor disputes which allege excessive and unsuitable trading. Let’s take a look at these disputes, including what […]

Broker Ronald Giovino (GWN Securities) Barred, Involved In Investor Disputes The Financial Industry Regulatory Authority (FINRA) barred securities broker Ronald Joseph Giovino (CRD#: 2236071, Clearwater, Florida). This means that Giovino cannot be a securities broker with any FINRA-member firm (most securities firms in the country). In addition, it appears that Giovino is involved in disputes […]

Soreide Law Group has filed a FINRA arbitration on behalf of their client (Claimant) against: LPL FINANCIAL LLC (Respondent) The Claimant brings this action to recover alleged losses due to JP Morgan structured notes sold by Financial Advisor, Brian Singleton. The lawsuit states that the Respondent allegedly understood that the Claimant did not want to […]

ONESCO Broker Jesse Kovacs Suspended By FINRA, Accused Of Sales Practice Violations By Investors FINRA BrokerCheck contains important disclosures regarding securities broker Jesse Todd Kovacs (CRD#: 5047161, Forked River, New Jersey). Specifically, FINRA suspended Kovacs as a securities broker in September 2020 to resolve allegations that he engaged in a private securities transaction in violation […]

Broker Sean Parikh Fined For Excessive Trading, Faces Aegis Client Disputes Alleging Unsuitability Soreide Law Group comes to you with an update regarding the FINRA BrokerCheck disclosures relating to Aegis Capital Corp securities broker Kishan Parikh (“Sean Parikh”) (CRD#: 5506554, New York, New York). It appears that FINRA suspended Parikh as a securities broker between […]

Soreide Law Group has been contacted by investors who have experienced losses in LJM Capital Preservation and losses in FS Energy due to the alleged recommendations of their financial advisor/broker: JOHN STEPHEN PRONOVOST (JOHN S PRONOVOST) Since 2/26/21, JOHN S PRONOVOST has been listed with, INFINEX INVESTMENTS, INC. of Watertown, Connecticut.  He was previously registered […]

Broker Steve Whittaker Suspended By FINRA Over Alleged Outside Business Activities, Involved In FFEC Client Dispute Evidently, the Financial Industry Regulatory Authority (FINRA) issued a 3-month suspension and $5,000 fine to securities broker Stephen Leroy Whittaker (“Steve Leroy Whittaker”) (CRD#: 831764, Surprise, Arizona). Namely, Whittaker allegedly engaged in an outside business activity without telling First […]

Broker Marc Lippman (Folger Nolan) Barred By FINRA, Involved In Investor Dispute Alleging Breach Of Fiduciary Duty Soreide Law Group provides you with important information relating to securities broker Marc Romeyn Lippman (CRD#: 1575995, Washington, DC). Specifically, FINRA barred Lippman on June 17, 2021, to resolve allegations of his unauthorized transactions in customer accounts and […]

Broker Jenna Kang (Equitable Advisors) Barred By FINRA, Accused Of Unauthorized Transactions By Investors Soreide Law Group is investigating bringing potential investor disputes against securities broker Jenna Kang (“Jihye Kang”) (CRD#: 6334679, Los Angeles, CA). Notably, FINRA barred Kang in October 2020 because she allegedly failed to comply with an investigation. Not only that, but […]