Latest Securities Lawyer News

EVAN A SCHOTTENSTEIN (CRD#: 4929175), a former financial advisor with JP Morgan Securities, LLC of New York, has been barred by FINRA from acting as a broker or otherwise associating with a broker/dealer firm on April 7, 2021. Schottenstein was previously registered both as a broker and as an investment advisor. According to FINRA, without […]

Prospera, HD Vest Investors Bring Disputes About Michael Kamperman The Financial Industry Regulatory Authority (FINRA) reports new disputes involving HD Vest Investment Services securities broker Michael Kamperman (CRD#: 2002603, Waco, Texas). In fact, FINRA BrokerCheck shows that five investors filed complaints or FINRA arbitration claims alleging sales practice violations by Kamperman. Not only that, but […]

Securities Broker Peter Girgis Under FINRA Investigation For Possible Churning, Unsuitable Trading The Financial Industry Regulatory Authority (“FINRA”) BrokerCheck report for securities broker Peter Girgis (CRD#: 4520444, New York, New York) shows that FINRA is investigating him for unsuitable trading and churning. Moreover, six investors disputed Girgis’s sales practices. These disclosures are summarized below. FINRA’s […]

Worden Capital Investors File Disputes About Securities Broker John LoPinto It appears that investors have come forward in dispute of securities broker John Michael LoPinto (CRD#: 4563735, New York, New York). In total, Financial Industry Regulatory Authority (“FINRA”) reveals that four investors took aim at LoPinto alleging sales practices violations. SEC also sanctioned him. Here’s […]

Investors File Disputes About Broker Gilberto Briseno's Investment Recommendations At LPL Financial Soreide Law Group is examining whether to file disputes on behalf of investors against securities broker Gilberto Briseno (CRD#: 1939355, Boutte, Louisiana). Evidently, the Financial Industry Regulatory Authority (“FINRA”) reports that three investors took issue with Briseno’s sales practices. Read on to learn […]

Securities Broker Scott Michael Barber Involved In Disputes About Suitability Of REIT Transactions The Financial Industry Regulatory Authority (“FINRA”) BrokerCheck shows that investors filed disputes in regard to securities broker Scott Michael Barber (CRD#: 4822754, DuBois, Pennsylvania). Here’s what clients have alleged against this broker, and what you could do if you sustained losses because […]

Investors, Regulators File Lawsuits Regarding Securities Broker Jonah Engler The Financial Industry Regulatory Authority (“FINRA”) confirms through BrokerCheck that 16 investors challenged the sales practices of securities broker Jonah Engler (CRD#: 4216259, New York, New York). Evidently, these investor disputes contain allegations of Engler making unsuitable and unauthorized trades in client accounts. Moreover, BrokerCheck shows […]

Money Concepts Broker Dustin Shafer Barred As Securities Broker, Involved In Investor Disputes Soreide Law Group is reviewing whether to bring investor claims against Money Concepts Capital Corp securities broker Dustin Paul Shafer (CRD#: 4198962, Springfield, Illinois). Notably, as of January 7, 2021, Shafer’s securities broker privileges have been taken away by State of Illinois […]

Investors File Disputes About Securities Broker Chad Barancyk's Sales Practices Investors have disputed the sales practices of First Allied Securities broker Chad Ryan Barancyk (CRD#: 4921433, Chicago, Illinois), according to the Financial Industry Regulatory Authority (“FINRA”). Namely, there are three investors who have alleged sales practice violations by Barancyk. Also, BrokerCheck shows that FINRA briefly […]