Investors have reportedly disputed the sales practices of securities broker Ronald Albert Gelok Jr. (also known as Ron Gelok) [CRD: 1403352, Naples, Florida], given the public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Gelok worked for Ronald Gelok Associates LLC from November 17, 2017, to the present, and AAG Capital Inc. from July 8, […]

Investors potentially experienced sales practice violations by securities broker Aubrey Walter Lee Jr. [CRD: 1685532, Farmington Hills, Michigan], based on publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Aubrey Lee worked for Merrill Lynch from August 18, 1987, to October 2, 2024. Keep reading to find out more about the disclosures involving […]

Investors might have sustained losses due to securities broker Terri Lynn Fassi (also known as Terri Phelps and Terri Wojcicki) [CRD: 2526113, Windsor, Colorado], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Terri Fassi worked for Centaurus Financial Inc. in Windsor, Colorado, beginning January 3, 2007, as a securities broker and beginning April […]

Investors potentially incurred losses because of securities broker Robert Doyle [CRD: 2309859, Riverhead, New York], given the public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Robert Doyle worked for Axiom Capital Management Inc. from October 21, 2002, to December 31, 2025. See below to learn more about disclosures involving Robert Doyle. Axiom Capital Management […]

Cape Securities Inc, a Georgia-based broker/dealer, has been censured by the Financial Industry Regulatory Authority (FINRA) and ordered to pay $145,072.62.

Soreide Law Group was recently contacted by investors who experienced financial losses due to the alleged recommendation of Inspired DSTs by their broker, JOSEPH KOCSIS (JOE KOCSIS) currently with QUINCY WELLS CAPITAL, LLC of Chicago, Illinois since 5/1/2026. Before that Kocsis was registered as a broker with GREAT POINT CAPITAL LLC of Chicago, Illinois, from […]

NAFISSA DIALLO has been permanently barred from acting as a broker or otherwise associating with a broker/dealer firm with a start date of 2/23/2026. Diallo was previously registered both as a broker and as an investment advisor with WELLS FARGO CLEARING SERVICES, LLC of Washington DC from 11/14/2019 - 01/08/2026. According to FINRA’s BrokerCheck, available […]

Investors apparently complained about securities broker Zvi Yehuda Rosenzweig (also known as Yudi Rosenzweig) [CRD: 4110421, Southfield, Michigan], based on disclosures located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Zvi Rosenzweig has been registered with LPL Financial LLC since September 29, 2025, and previously worked for MML Investors Services LLC. See the following information to […]

Investors have reportedly disputed the sales practices of securities broker Jan Peter Cummins [CRD: 718836, Radnor, Pennsylvania], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Jan Cummins worked for Janney Montgomery Scott LLC from January 17, 2003, to the present as a securities broker and from August 8, 2005, to the present […]