Securities Broker David Paton Involved In Disputes From RBC Capital Markets Clients The Financial Industry Regulatory Authority (“FINRA”) reveals troubling information in regard to securities broker David Kallman Paton (CRD#: 1746167, Woodbury, Minnesota). Notably, the securities broker, who worked for securities firm RBC Capital Markets LLC, is involved in three investor disputes – two involving […]

Broker Anthony Cottone Is Barred By FINRA, Involved In Dispute About Private Placements The Financial Industry Regulatory Authority (“FINRA”) reports troubling information concerning securities broker Anthony Matthew Cottone (CRD#: 4394861, Boca Raton, Florida). It appears that Cottone worked for firms Landolt Securities (2016 to 2017) and First West Group (2014 to 2016). Notably, there are […]

Investor Files Dispute About Barred Broker David Volpe Soreide Law Group is evaluating possible investor claims against securities broker David John Volpe (CRD#: 2543478, Scottsdale, Arizona). Evidently, the securities broker last worked for First Financial Equity Corporation (2019). He also worked for LPL Financial LLC (2017 to 2018) and National Planning Corporation (2009 to 2017). […]

EVAN A SCHOTTENSTEIN (CRD#: 4929175), a former financial advisor with JP Morgan Securities, LLC of New York, has been barred by FINRA from acting as a broker or otherwise associating with a broker/dealer firm on April 7, 2021. Schottenstein was previously registered both as a broker and as an investment advisor. According to FINRA, without […]

Prospera, HD Vest Investors Bring Disputes About Michael Kamperman The Financial Industry Regulatory Authority (FINRA) reports new disputes involving HD Vest Investment Services securities broker Michael Kamperman (CRD#: 2002603, Waco, Texas). In fact, FINRA BrokerCheck shows that five investors filed complaints or FINRA arbitration claims alleging sales practice violations by Kamperman. Not only that, but […]

Securities Broker Peter Girgis Under FINRA Investigation For Possible Churning, Unsuitable Trading The Financial Industry Regulatory Authority (“FINRA”) BrokerCheck report for securities broker Peter Girgis (CRD#: 4520444, New York, New York) shows that FINRA is investigating him for unsuitable trading and churning. Moreover, six investors disputed Girgis’s sales practices. These disclosures are summarized below. FINRA’s […]

Worden Capital Investors File Disputes About Securities Broker John LoPinto It appears that investors have come forward in dispute of securities broker John Michael LoPinto (CRD#: 4563735, New York, New York). In total, Financial Industry Regulatory Authority (“FINRA”) reveals that four investors took aim at LoPinto alleging sales practices violations. SEC also sanctioned him. Here’s […]

Investors File Disputes About Broker Gilberto Briseno's Investment Recommendations At LPL Financial Soreide Law Group is examining whether to file disputes on behalf of investors against securities broker Gilberto Briseno (CRD#: 1939355, Boutte, Louisiana). Evidently, the Financial Industry Regulatory Authority (“FINRA”) reports that three investors took issue with Briseno’s sales practices. Read on to learn […]

Securities Broker Scott Michael Barber Involved In Disputes About Suitability Of REIT Transactions The Financial Industry Regulatory Authority (“FINRA”) BrokerCheck shows that investors filed disputes in regard to securities broker Scott Michael Barber (CRD#: 4822754, DuBois, Pennsylvania). Here’s what clients have alleged against this broker, and what you could do if you sustained losses because […]