Money Concepts Broker Christopher Puffer Allegedly Breaches Fiduciary Duty In Connection With Alternative Investment Sales Have you invested with Christopher Puffer [CRD#: 2878141, Louisville, Kentucky]? Notably, the securities broker, who joined Money Concepts Capital Corp. on October 27, 2006, discloses on FINRA BrokerCheck that at least three of his clients challenged his sales practices. In […]

SSoreide Law Group has been contacted by investors alleging unsuitable annuity transactions by the following broker: CYNTHIA MARY COUYOUMJIAN (CYNTHIA COUYOUMJIAN, CYNTHIA MARY KOCZKODAN) CRD#: 1456630 According to FINRA’s BrokerCheck, which is available to the public on FINRA’s website, CYNTHIA COUYOUMJIAN is currently registered with INDEPENDENT FINANCIAL GROUP of Tustin, California, and has 27 Disclosures […]

JOHN RAYMOND LISOWSKI CRD#: 1011572, along with his firm, STIFEL, NICOLAUS & COMPANY, INC., was ordered by a FINRA arbitration panel to pay $500,000.00 to a client who alleged over-concentration and unauthorized trading. Lisowski is currently a registered representative at Stifel, Nicolaus & Co in Pittsburgh, Pennsylvania. According to FINRA, the client filed the claim […]

FINRA Bars UBS Financial Services Broker David Fagenson Investor Alert! FINRA discloses troubling information about securities broker David Fagenson [CRD#: 1652012, Boca Raton, Florida]. Not only has FINRA barred Fagenson for failing to comply with its requests, but at least 11 clients took issue with the securities broker, who worked for Newbridge Securities Corporation between […]

UBS Broker Cary Moskowitz Allegedly Caused Investor's Losses Soreide Law Group is looking into potential investor disputes against securities broker Cary Moskowitz [CRD#: 1287997, New York, New York]. Notably, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck shows that 3 or more clients were allegedly wronged by the securities broker, who joined UBS in 2008. Supposedly, clients […]

Joseph Stone Broker Erik Pica Allegedly Steals $200,000 From Client Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports alarming allegations of improprieties by Joseph Stone Capital securities broker Erik Pica [CRD#: 4829533, New York, New York]. Namely, FINRA filed a complaint against Pica alleging his conversion of client funds. In addition, 7 clients  brought […]

Barred Broker Donnell Bowen Mentioned In Client Disputes Evidently, investors are coming forward with disputes concerning securities broker Donnell Bowen (CRD#: 5641822, Washington, DC). Notably, the securities broker, who associated with Northwestern Mutual Investment Services from April 2, 2009 to February 1, 2017, reports 14 investor disputes on Financial Industry Regulatory Authority (“FINRA”) BrokerCheck. Apparently, […]

Broker Gabe Block's License Revoked By NJ Securities Bureau Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) shows troubling information in regard to securities broker Gabriel “Gabe” Block (CRD#: 2103543, Red Bank, New Jersey). Not only has New Jersey Bureau of Securities issued a $750,000 fine to Block and revoked his license for allegedly engaging […]

Andrew Garret Clients Indicate John Conroy Was Negligent, Breached Fiduciary Duty Soreide Law Group is reviewing possible investor claims against securities broker John Conroy (CRD#: 3008995, New York, New York). Apparently, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck shows that at least 6 clients raised serious concerns about the securities broker who worked for Andrew Garrett […]