Merrill Lynch Client Files Dispute About Broker Peter Ianace's Recommendations The Financial Industry Regulatory Authority (FINRA) discloses new information through BrokerCheck as it relates to Peter Vincent Ianace (CRD#: 3238078, Plano, Texas). It appears that the securities broker, who worked for Merrill Lynch (2011 to 2019) and Wells Fargo Clearing Services (2019 to 2020), is […]

Soreide Law Group, based in South Florida, obtained the following information from FINRA’s website on the following broker who was registered with GENTEM CAPITAL LLC in Old Bridge, New Jersey and Miami, Florida: Cesar Gabriel Hernandez (CRD #3249722, Miami, Florida) On June 24, 2021, an Acceptance, Waiver, and Consent (AWC) was issued by FINRA in […]

On June 4, 2021, GRANT CHRISTOPHER BIRKLEY (GRANT BIRKLEY) CRD#: 2933533, formerly with SagePoint Financial of Barrington, Illinois, was barred by FINRA from acting as a broker or otherwise associating with a broker/dealer firm. Without admitting or denying FINRA’s findings, GRANT CHRISTOPHER BIRKLEY consented to the sanction and to the entry of findings that he […]

FINRA Bars Robert Escobio Per NAC Decision The Financial Industry Regulatory Authority (“FINRA”) barred Robert Juan Escobio – the former Southern Trust Securities CEO (CRD#: 703813, Miami, Florida). This bar means that Escobio cannot be a FINRA-member securities broker or associate with those firms. Other regulatory actions are reported on this securities broker’s record too. […]

Securities Broker Scott Wolfrum (David A. Noyes) Involved In Investor Dispute, Sanctioned By SEC Soreide Law Group has new information to report concerning securities broker Scott Thomas Wolfrum (CRD#: 2187550, Indianapolis, Indiana). Evidently, the securities broker was associated with Wells Fargo Advisors (2011 to 2013), David A. Noyes Company (2013 to 2018), and Huntleigh Securities […]

The Financial Industry Regulatory Authority (FINRA) has barred ALEXIS COOKE (ALEXIS K COOKE, ALEXIS KINASHEA COOKE) CRD#: 5598604, on August 13, 2021, from acting as a broker or otherwise associating with a broker/dealer firm. According to the FINRA report, available to the public on FINRA’s website, without admitting or denying the findings, ALEXIS COOKE consented […]

FINRA Sanctions Reported Against Securities Broker Allan Katz The Financial Industry Regulatory Authority (“FINRA”) contains new information about securities broker Allan Katz (CRD#: 2166004, Staten Island, New York). Specifically, FINRA issued Katz a fine and suspension to resolve allegations of his misuse of client signatures. Also, BrokerCheck shows that Royal Alliance Associates Inc. disaffiliated with […]

Concorde Investment Services Clients Dispute DPP, REIT Sales Practices Of Broker Richard Rodriguez The Financial Industry Regulatory Authority (“FINRA”) reports six investor disputes on the record of securities broker Richard Anthony Rodriguez Jr. (CRD#: 2973254, Fruitland Park, Florida). It appears that one or more of these investors alleges that Rodriguez’s actions at Charles Schwab and […]

EUGENE ARTHUR MCADAMS CRD#: 4190211, formerly with JOSEPH STONE CAPITAL LLC of Center Moriches, New York, was barred by FINRA from acting as a broker or otherwise associating with a broker-dealer firm. According to the FINRA report, dated August 4, 2021, without admitting or denying FINRA’s findings, EUGENE ARTHUR MCADAMS consented to the sanction and […]