Morgan Stanley's Michael Paesano Allegedly Gave Bad Advice To Clients Soreide Law Group is investigating potential investor claims of sales practice violations by broker Michael Paesano [CRD#: 1557229, New York, New York]. Notably, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck reports that approximately 21 clients disputed the securities broker, who worked with Morgan Stanley from May […]

Ameritas Broker Robert Gianchiglia Purportedly Misrepresents Facts Relating To Securities Transactions Investors are voicing complaints and serious concerns in regard to securities broker Robert Gianchiglia [CRD#: 2117250, Worcester, Massachusetts]. Evidently, Gianchiglia worked for Ameritas Investment Corp. between August 2005 and May 2017 and joined USA Financial Securities Corporation in April 2017. Notably, Gianchiglia discloses six […]

Investors File Disputes About Broker James Pecoraro Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports alarming information in regard to securities broker James Pecoraro [CRD#: 2440231, Garden City, New York]. Evidently, at least 10 clients raised serious concerns about the securities broker, who worked for SW Financial between 2016 and 2019 and who joined […]

MARK THOMAS LAMKIN (MARK LAMKIN) CRD#: 2121510, an advisor formerly with LPL Financial of Louisville, Kentucky, has been issued a three month suspension and a $7,500 fine by the Financial Industry Regulatory Authority (FINRA) because he allegedly borrowed $1.3 million from a client without notifying his member firm or obtaining written approval. In a Letter […]

Broker Bernard Audet Allegedly Misrepresented Life Insurance Policies Investors are alleging losses because of Bernard Joseph Audet [CRD#: 1317819, Newtown Square, Pennsylvania]. Evidently, the securities broker, who joined MML Investors Services in 2017, discloses 7 investor disputes on Financial Industry Regulatory Authority (“FINRA”) BrokerCheck. Apparently, Audet’s clients asserted claims of misrepresentation, omissions, and unsuitable insurance […]

FINRA Suspends Portfolio Advisors Alliance's Craig Siegel Soreide Law Group is looking into potential investor disputes against securities broker Craig Siegel [CRD#: 5759415, New York, New York]. Evidently, Siegel worked for Portfolio Advisors Alliance between 2013 and 2018. Notably, FINRA suspended Siegel between May 10, 2019 and July 16, 2019 for non-compliance. Not only that, […]

Broker Mike Libmann Purportedly Misrepresented, Concealed Information Investors are coming forward with disputes about securities broker Mike Libmann [CRD#: 1323896, Quincy, Illinois]. Evidently, Libmann, who associated with MML Investors Services until 2018, reports 4 investor disputes on Financial Industry Regulatory Authority (“FINRA”) BrokerCheck. Notably, his clients suggest that he concealed important information concerning investments that […]

Wedbush and Hilltop Clients Indicate That Broker Mark Augusta Committed Sales Practice Violations Soreide Law Group is investigating potential investor claims against broker Mark Fred Augusta [CRD#: 1333913, Del Mar, California]. Notably, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck identifies 19 or more clients who seemingly experienced losses because of Augusta, who worked for Wedbush Securities […]

FINRA Revokes James Lamont's Securities Registration Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports alarming information in regard to securities broker James Marten Lamont [CRD#: 2846228, San Francisco, California], who worked for securities firms Independent Financial Group (2006 to 2015) and Whitehall-Parker Securities (2015 to 2019). Evidently, FINRA revoked Lamont’s registration on March 13, […]