FINRA Suspends Garden State Securities Broker Raymond John Pirrello Jr. The Financial Industry Regulatory Authority (FINRA) has sanctioned Raymond John Pirrello Jr. (CRD#: Hackensack, New Jersey), who is a prior general securities representative of Garden State Securities (August 14, 2008 to May 20, 2016). Pirrello consented to FINRA’s imposition of a $20,000.00 fine and 18-month […]

Quest Capital Strategies’ Frank Dietrich Barred For Selling Away Frank Dietrich (CRD#: 2506091, Lake Forest, California), who is a former Quest Capital Strategies securities broker, just got barred from the securities industry by the Financial Industry Regulatory Authority (“FINRA”) for engaging in private securities transactions, according to a Letter of Acceptance, Waiver and Consent #2018057197801 […]

Morgan Stanley’s James Polese Dealt Prison Sentence For Fraud James Polese (CRD#: 2636427, Boston, Massachusetts), who is a prior Morgan Stanley investment advisor, is going to prison for committing fraud. Polese pleaded guilty to eight counts of felony bank fraud, one count of felony conspiracy, one count of investment adviser fraud, and one count of […]

Ohio National Ending Broker Contracts And Annuity Trails For Advisors Soreide Law is investigating possible claims on behalf of advisors who have contracted to sell annuities through Ohio National Financial Services Inc. (Cincinnati, Ohio) – a company that markets financial and insurance products through the Unites States and abroad. The firm is considered a top […]

Soreide Law Group Investigating Payson Petroleum Fraud Allegations Soreide Law Group is investigating claims on behalf of investors who have been sold investments in Payson Petroleum (Grayson County, Texas) – a company founded by Matthew Carl Griffin to pioneer oil investment opportunities for independent investors. Payson Petroleum investors are at risk of losing their investments […]

UBS’ David Howard Fagenson Allegedly Misrepresented Investments David Howard Fagenson (CRD#: 1652012, Palm Beach, Florida) is a securities broker who previously worked for UBS Financial Services Inc. between September 3, 2010 and October 19, 2016. UBS Financial Services Inc. reported on Fagenson’s FINRA BrokerCheck Report that a customer of Fagenson’s had made false promises about […]

Suitability Claims Lodged Against Morgan Stanley Broker James E. Brooks James E. Brooks (CRD#: 31604, Boca Raton, Florida) is a prior financial advisor of Morgan Stanley. The Financial Industry Regulatory Authority (“FINRA”) BrokerCheck Report for Brooks shows that Brooks’ sales practices have been contested by at least four investors through their filing of investment-related complaints […]

DAVID HOWARD FAGENSON (DAVID FAGENSON) CRD#: 1652012, a broker formerly with UBS of Palm Beach, Florida, was suspended by the Financial Industry Regulatory Authority, Inc. (FINRA) following allegations that he traded excessively in elderly client accounts. DAVID FAGENSON consented to an eight-month suspension without admitting or denying FINRA’s findings. FINRA did not fine Fagenson due […]

Calton & Associates Broker Chris Raymond Kubiak Barred by FINRA Chris Raymond Kubiak (CRD#: 1527367, Brookfield, Wisconsin) has been registered with Freedom Investors Corp. (February 17, 1989 to July 17, 2017), American Global Wealth Management, Inc. (July 14, 2017 to August 11, 2017) and most recently, Calton & Associates, Inc. (July 17, 2017 to October […]