WILLIAM CHRISTIAN GENNITY (WILLIAM GENNITY, BILLY GENNITY) CRD#: 4913490, was barred by the Securities and Exchange Commission (SEC) from acting as a broker or investment adviser or otherwise associating with firms that sell securities or provide investment advice to the public, and FINRA has suspended Gennity from acting as a broker.  According to FINRA, Gennity […]

According to a recent press release, a Tuscon, Arizona, couple recently filed a FINRA complaint against the former Morgan Stanly broker, KIRK J GILL (CRD#: 2291503).  Gill is currently with TAYLOR CAPITAL MANAGEMENT INC. of Tucson, AZ.  On FINRA’s BrokerCheck, which is available to the public on FINRA’s website, it states that Gill has 17 […]

Soreide Law Group Investigating The Parking REIT Soreide Law Group is evaluating possible claims against brokers or advisers for selling investors a risky investment, The Parking REIT, Inc. (Las Vegas, Nevada) - a publicly registered, non-listed real estate investment trust (REIT). Evidently, The Parking REIT, managed by MVP Realty Advisors, LLC, has declared in March […]

ATTENTION INVESTORS: Losses from Capital Financial Services Broker Steven Knuttila? Financial Industry Regulatory Authority (FINRA) barred Capital Financial Services Inc. broker Steven Roland Knuttila (CRD#: 3039112, Perham, Minnesota) from the securities industry for making bad recommendations to customers. Notably, Mr. Knuttila, who was employed with Capital Financial Services, Inc. between June 4, 2012 and December […]

Soreide Law Group (888-760-6552), based in Pompano Beach, Florida, is investigating claims against, JANNEY MONTGOMERY SCOTT LLC of Stuart, Florida, broker: CHRISTOPHER DAVID SINKULA (CHRIS SINKULA) CRD#: 2001512  According to FINRA’s BrokerCheck, which is available to the public on FINRA’s website, CHRISTOPHER DAVID SINKULA, has 11 Disclosures on his report dating as far back as […]

BRUCE COLIN WORTHINGTON (CRD#: 2193895) was suspended by FINRA from acting as a broker on December 31, 2018.  According to FINRA, if Worthington fails to request termination of the suspension within three months of the date of the Notice of Suspension, he will automatically be barred on March 11, 2019, from association with any FINRA […]

FINRA Banishes Merrill Lynch’s Christopher Hellman For Stonewalling Investigation The Financial Industry Regulatory Authority (“FINRA”) barred Merrill Lynch securities broker Christopher Charles Hellman (CRD#: 6584084, Boca Raton, Florida) for failing to provide information to FINRA during its investigation of Hellman’s possible private securities transactions and outside business activities. Evidently, Mr. Hellmann submitted a Letter of […]

JOHN WILLIAM SPACH CRD#: 2731192, formerly with Kestra Investment Services of Aliso Viejo, California, was barred on February 21, 2019, by the Financial Industry Regulatory Authority, Inc. (FINRA) for failing to respond to FINRA’s request for information during an investigation of a client complaint. According to FINRA, without admitting or denying the findings, Spach consented […]

Soreide Law Group, based in Florida, has filed a complaint on behalf of their client (Claimant) against: NEWBRIDGE SECURITIES CORPORATION (Respondent) regarding alleged losses in GPB Capital Holdings and the Lodging Opportunity Funds. The Claimant, who resides in Florida, maintained accounts with the Respondent and their Financial Advisor, Peter L. Goffin. Goffin is not named […]