Latest Securities Lawyer News

Soreide Law Group (888-760-6552) obtained the following information on FINRA’s website under, “Disciplinary and Other FINRA Actions January 2021.” David Todd Phillips (CRD #3094195, Gilbert, Arizona) On November 18, 2020, FINRA issued an Acceptance, Waiver and Consent (AWC) in which David Todd Phillips was assessed a deferred fine of $5,000 and suspended from association with […]

APOSTOLOS NICOLAS PITSIRONIS (APOSTOLOS  PITSIRONIS, PAUL PITSIRONIS) CRD#: 2804907, a former broker previously registered with Janney Montgomery Scott LLC of Melville, NY, was barred by FINRA in September of 2019, and is now facing criminal charges according to a recent article in Financial Advisor IQ.  According to the article, Pitsironis is accused of misappropriating hundreds […]

Broker Charles Correal Allegedly Sold Bad Investments The investment loss recovery attorneys at Soreide Law Group provide you with this Investor Alert in regard to securities broker Charles “Chuck” Ryan Correal (CRD#: 1366202, Pittsburgh, Pennsylvania). Of great concern is the fact that the securities broker, who worked for securities firms Morgan Stanley and Harvest Financial, […]

Securities Broker Rodrigue Lors Purportedly Sold Bad Private Placements The Financial Industry Regulatory Authority (FINRA) reports troubling allegations concerning securities broker Rodrigue Lors (CRD#: 4379214, Westbury, New York). Specifically, the securities broker is involved in at least 5 disputes. Those disputes allege sales practice violations including Lors’ unsuitable trading. Here’s more on the disclosures which […]

In an article today in Financial Advisor IQ, it was reported that MARK LEWTON HOPKINS (CRD#: 2653473, Mark Hopkins), a 53 year-old former financial advisor from American Portfolios Financial Services of Grand Blanc, Michigan, is not only facing charges from the SEC, but is now also facing wire fraud charges from the Department of Justice. […]

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. […]