Hilliard Lyons' Christopher Bennett Reports 15 Client Disputes Investor Alert! The Financial Industry Regulatory Authority (FINRA) shows troubling information in regard to securities broker and financial advisor Christopher Duke Bennett [CRD#: 2510231, Louisville, Kentucky]. Namely, 15 clients took issue with the securities broker, who worked for Hilliard Lyons between 1995 and 2018. Also, FINRA issued […]

UBS Clients Indicate That Broker Gerard Costello Misrepresented Investments Soreide Law Group is reviewing possible investor claims against securities broker Gerard Costello [CRD#: 1551511, New York, NY]. Apparently, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck shows that at least 3 clients raised serious concerns about the securities broker, who joined UBS Financial Services on November 20, […]

LPL Financial's Nicholas Travascio Allegedly Recommended Unsuitable REITs Investors are voicing complaints and serious concerns in regard to Nicholas Travascio [CRD#: 2581756, Hurst, Texas]. Supposedly, the securities broker, who worked for LPL Financial between May 1999 and December 2018, discloses 3 investor disputes on Financial Industry Regulatory Authority (“FINRA”) BrokerCheck. Namely, LPL Financial clients indicate […]

Northwestern Mutual's John Chrysadakis Barred For Refusing To Cooperate With FINRA Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports alarming allegations of improprieties by Northwestern Mutual Investment Services securities broker John Chrysadakis [CRD#: 5680661, Norwalk, Connecticut]. Aparently, not only has FINRA barred Chrysadakis, but a client disputed his sales practices. Also, Northwestern Mutual ended […]

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 […]