Soreide Law Group obtained the following information from FINRA’s website listed on the January 2021 Disciplinary Actions, for broker, Philip Simone, formerly with AXA Advisors of Irvine, California. On November 13, 2020, Philip Anthony Simone (CRD #1623827) was issued an Acceptance, Waiver and Consent (AWC) in which Simone was assessed a deferred fine of $12,500, […]

Soreide Law Group is investigating alleged claims regarding the following broker currently listed with PHX Financial in New York, NY:  SERGE PARAKHNEVICH (SERGE PARKER) CRD#: 5493064   According to FINRA’s BrokerCheck, available to the public on FINRA’s website, SERGE PARAKHNEVICH (SERGE PARKER) has been registered in the securities industry for 12 years, and has been […]

On November 17, 2020, Efrain Balderrama Trujillo (Efrain Trujillo, CRD #3106482, West Hills, California), an Acceptance, Waiver and Consent (AWC) was issued by FINRA in which Trujillo was barred from association with any FINRA member in any principal capacity and fined $20,000. Without admitting or denying FINRA’s findings, Efrain Trujillo consented to the sanctions and […]

According to an article in the Tampa Bay Times, on February 4, 2021, David Gentile, 54, the founder and CEO of GPB Capital was charged with five felonies. GPB Capital, founded in 2013 is based in New York. GPB has an office in One Clearwater Tower in downtown Clearwater, two floors above the City Hall. […]

Broker Robert Ginsberg Might Have Recommended Bad Alternative Investments The Financial Industry Regulatory Authority (“FINRA”) reports troubling information in regard to securities broker Robert “Bob” Scott Ginsberg (CRD#: 5177531, Wallingford, Connecticut). Notably, the securities broker, who worked for Investors Capital Corp (2008 to 2016) and Woodbury Financial Services (2016 to present), is involved in at […]

On January 29, 2021, Manish Shah (MANISH H SHAH,MANISH HEMANT SHAH) CRD#: 4652835 a broker formerly with Northwestern Mutual Investment Services of Princeton, New Jersey, has been suspended by FINRA for 20 months, beginning February 1, 2021 and ending on September 30, 2022.  He was also fined $15,000.00 by FINRA. Without admitting or denying FINRA’s […]

Soreide Law Group (888-760-6552) obtained the following information on FINRA’s website under, “Discipinary and Other FINRA Actions, January 2021” on the former National Securities Corporation of New York, broker: Joseph Victor Alhadeff (CRD #2938087, Miami Beach, Florida). On November 27, 2020, an Acceptance, Waiver, and Consent (AWC) was issued in which Joseph Victor Alhadeff was […]

Soreide Law Group, obtained the following information on FINRA’s website listed with the January 2021 Disciplinary Actions on the broker: Brett Stephen Briggs (CRD #1226255, Calabasas, California). On November 17, 2020,  an Acceptance, Waiver and Consent (AWC) was issued in which Brett Stephen Briggs was barred from association with any FINRA member in any principal […]

TYLER DEAN DELAHUNT (TYLER DELAHUNT, CRD#: 4419594), formerly with Merrill Lynch of Atlanta, Georgia, was barred by FINRA on January 25, 2021, from acting as a broker or otherwise associating with a broker-dealer firm. Delahunt was previously registered both as a broker and as an investment advisor. Without admitting or denying FINRA’s findings, TYLER DELAHUNT […]