Losses due to KEVIN WARES? The Financial Industry Regulatory Authority (“FINRA”) confirms through BrokerCheck that clients disputed the sales practices of securities broker Ahmad (“Kevin”) Wares (CRD#: 2959624, Melville, NY). Notably, clients’ claims suggest Kevin Wares made excessive, unauthorized and unsuitable trades at the expense of his customers. Here’s a summary of some disputes involving […]

MICHAEL SPOLAR Dealt FINRA Suspension The Financial Industry Regulatory Authority (“FINRA”) issued a 15-month suspension to International Assets Advisory LLC (“IAA”) securities broker Michael Spolar (CRD#: 2192992, Orlando, Florida). Evidently, Spolar executed a Letter of Acceptance, Waiver and Consent (“AWC”) on July 16, 2019, which FINRA accepted ten days later. Notably, Spolar’s suspension, effective August […]

Soreide Law Group has filed a FINRA arbitration on behalf of their client (Claimant) against: TITAN SECURITIES (Respondent). The Claimant resides in Texas and maintained an investment relationship with the Respondent and their former Financial Advisor, WALTER WARREN PARKER (WALTER PARKER) CRD#: 2131232. Walter Parker, formerly of Titan Securities, is not named in this lawsuit. […]

Broker JIM HEAFNER Barred By FINRA The Financial Industry Regulatory Authority (“FINRA”) indefinitely barred Taylor Capital Management Inc. securities broker Jim Heafner (CRD#: 4837072, Charlotte, North Carolina). Evidently, in a Letter of Acceptance, Waiver and Consent (“AWC”) #: 2018059962701, which was executed by Heafner June 6, 2019 and accepted by FINRA July 30, 2019, Heafner […]

SHAWN BURNS Losses? Soreide Law Group is reviewing possible investor claims against Salomon Whitney Financial securities broker Shawn Burns (CRD#: 3138114, Farmingdale, New York). Evidently, Burns’ Financial Industry Regulatory Authority (“FINRA”) BrokerCheck Report contains thirty-two disclosures regarding regulatory actions and client disputes. The broker, who FINRA barred August 28, 2017 for failing to respond to […]

MATTHEW ALBERS Suspended By FINRA The Financial Industry Regulatory Authority (“FINRA”) disclosed August 1, 2019 that it issued a suspension and $5,000 fine to Paulson Investment Company securities broker Matthew Albers (CRD#: 2917814, Vienna, Virginia) for discretionary trading. Evidently, Albers submitted a Letter of Acceptance, Waiver, and Consent (“AWC”) #: 2018056269001 on July 17, 2019. […]

STEVEN REZNIK Losses? Soreide Law Group is investigating potential investor claims against Raymond James Financial Services financial advisor Steven Reznik (CRD#: 1067199, Tallahassee, Florida). Namely, the Financial Industry Regulatory Authority (“FINRA”) shows 19 investor disputes on Reznik’s record. Clients’ claims, summarized below, raise questions about whether Reznik, who worked for Raymond James from 1989 until […]

ROBERT MONTES Barred By FINRA The Financial Industry Regulatory Authority (“FINRA”) announced July 24, 2019 that it barred Morgan Stanley securities broker Robert Montes (CRD#: 835488, Palm Harbor, Florida). Evidently, Montes, who worked for Morgan Stanley from 2014 until 2019,  flat out refused to cooperate with FINRA who investigated him for his possible misuse of […]

MICHAEL GARRIS Suspended By FINRA The Financial Industry Regulatory Authority (“FINRA”) announced July 22, 2019 that it issued Wells Fargo Clearing Services LLC (“Wells Fargo”) broker Michael Garris (CRD#: 1540384, Los Angeles, California) a one-year suspension beginning August 5, 2019, and a $5,000 fine for unauthorized trading. Notably, Garris who worked at Wells Fargo from […]