FINRA's Complaint Alleges Gregory Lewis' Misconduct Concerning StockKings The Financial Industry Regulatory Authority (FINRA) Department of Enforcement filed a complaint against securities broker Gregory Antonius Lewis (CRD#: 2793976, St. Petersburg, Florida). Specifically, the securities broker, who worked for StockKings Capital LLC since June 2013, is accused of misconduct relating to private securities offerings. Soreide Law […]

Sandlapper Securities Broker Kevin Nevin Barred, Facing Investor Disputes Soreide Law Group wants to share some important information with you in regard to securities broker Kevin Mark Nevin (CRD#: 2460059, Edina, Minnesota). Evidently, Nevin worked for firms Sandlapper Securities (2015 to 2019) and Dempsey Lord Smith LLC (2019 to 2021). FINRA BrokerCheck shows that Nevin […]

Worden Capital Managment Clients File Disputes Concerning Broker Christ Baltas The Financial Industry Regulatory Authority (“FINRA”) reported that investors filed disputes about securities broker Christ Elias Baltas (CRD#: 2570499, Melville, New York). Namely, two investors filed disputes about Baltas’ sales practices. Those disputes seem to concern his actions while working for Worden Capital Management (Melville, […]

Cynthia Komarek Barred, Involved In Investor Disputes The Financial Industry Regulatory Authority (“FINRA”) has new important information to share regarding securities broker Cynthia Komarek (CRD#: 1188714, Barrington, Illinois). It appears that this securities broker, who worked for firms Wells Fargo Clearing Services (2008 to 2017) and Sagepoint Financial (2017 to 2020), is now barred indefinitely […]

World Equity Group Clients File Disputes About Broker John Mateyko's REIT Sales The Financial Industry Regulatory Authority (“FINRA”) reports through BrokerCheck that investors have challenged the sales practices of securities broker John Mateyko (CRD#: 3275621, Rolling Meadows, Illinois). Specifically, three investors disputed Mateyko’s sales practices regarding REITs (real estate investment trusts). Here’s more on these […]

FINRA Bars Christopher Orlando For Allegedly Making Unsuitable Trades In Worden Client Accounts The Financial Industry Regulatory Authority (FINRA) shows through BrokerCheck that it barred securities broker Christopher George Orlando (CRD#: 4136262, New York, New York). Evidently, Orlando worked for firms Worden Capital Management (2016 to 2019), St. Bernard Financial Services (2019 to 2020), and […]

Soreide Law Group obtained the following information from FINRA’s Disciplinary Actions, August of 2021. JTA Securities Management, Inc., dba Titan Securities (CRD® #131392, Addison, Texas) and Brad Curtis Brooks (CRD #1584633, Frisco, Texas) According to the FINRA report, on June 29, 2021, JTA Securities Management, Inc., dba Titan Securities (the firm) and Brad Curtis Brooks […]

FINRA Issues Sanction To Securities Broker Enoch Booth It appears that FINRA barred securities broker Enoch Stanley Booth (CRD#: 4370233, Columbia, South Carolina). Evidently, the financial industry watchdog decided on July 20, 2021 to bar Booth as securities broker. This is for his alleged failure to provide documents to FINRA throughout its investigation that focused […]

Securities Broker Doug Hyer (First Allied Securities) Involved In Investor Dispute New information is reported on BrokerCheck as it relates to securities broker Douglas “Doug” Keith Hyer (CRD#: 254358, Great Neck, New York). Specifically, FINRA reports that four investors filed disputes about the securities broker, and these concern Hyer’s actions at various institutions where he […]