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 […]

Securities Broker Jason Poff Sanctioned By FINRA, Accused Of Sales Practice Violations By LPL And Chase Clients Financial Industry Regulatory Authority (FINRA) BrokerCheck, which houses important information about securities brokers, contains new disclosures regarding securities broker Jason Howell Poff (CRD#: 4078570, Houston, Texas). Specifically, FINRA issued Poff a fine and suspension for alleging engaging in […]

Broker Elias Hakimian (LPL Financial) Fined For Borrowing, Accused Of Churning By Investor The Financial Industry Regulatory Authority (FINRA) reportedly issued a three-month suspension to Elias Moses Hakimian (CRD#: 4404048, Seal Beach, California) as a securities broker and fined him $5,000 for allegedly borrowing from a client of LPL Financial. In addition, an investor filed […]

Raymond James' Michael Biedny Fined By FINRA And Accused Of Sales Practice Violations The Financial Industry Regulatory Authority (FINRA) reportedly issued a suspension and fine to securities broker Michael Alan Biedny (CRD#: 867868, Clarence, New York). This is to resolve allegations of Biedny violating a FINRA rule by concealing money he received from a senior […]

Broker Gordon Bryan (Wells Fargo) Suspended By FINRA, Accused Of Excessive Trading Soreide Law Group discusses BrokerCheck disclosures relating to securities broker Gordon Leonard Bryan (CRD#: 1292315, Terre Haute, Indiana). Notably, FINRA issued Bryan a two-month suspension and a $5,000 fine to resolve allegations that he engaged in an undisclosed outside business activity. In addition, […]