SEC Brings Fraud Charges Against FCG Advisors Broker Michael Bressman SEC Brings Fraud Charges Against FCG Advisors Broker Michael Bressman Michael Allan Bressman (CRD#: 873973, Chatham, New Jersey) has been a registered representative of FCG Advisors, LLC from February 4, 2000 to May 16, 2018. The Securities and Exchange Commission (“SEC”) filed a Complaint against […]

FINRA Bars Benjamin Jerold Broker Juergen Weber Juergen Weber (CRD#: 2617323, New York, New York) has been a registered representative of Benjamin & Jerold Brokerage I, LLC between August 29, 2011 and July 25, 2018. FINRA barred Weber in all capacities pursuant to a Letter, Waiver and Consent (“AWC”) #2017056035501 executed on Sept. 5, 2018. […]

SEC Files Fraud Charges Against Windsor Street Broker Jovannie Aquino Jovannie Aquino (CRD#: 4876661, New York, New York) is a previous registered representative of Windsor Street Capital, LP (May 29, 2014 to November 17, 2017). The Securities and Exchange Commission (“SEC”) charged Aquino with defrauding Windsor Street Capital investors by way of his excessive trading. […]

WILLIAM ANDREW HIGHTOWER (BILL HIGHTOWER), a former broker from Houston, Texas, who was formerly with UBS Financial Services Inc. and Legacy Asset Securities, Inc. was barred by FINRA from acting as a broker or otherwise associating with a broker-dealer firm in 2015.  Hightower, according to FINRA’s BrokerCheck, was barred because he failed to respond fully to […]

North Nassau Advisors Broker Brian Gimelson Guilty Of Tax Evasion Brian Frederick Gimelson (CRD#: 2262474, Princeton, New Jersey) was a registered representative of North Nassau Advisors LLC between June 12, 2014 and November 21, 2017. Gimelson recently pled guilty to two counts of attempting to defeat or evade tax in connection with the sale of […]

Meyers Associates Broker Emil Botvinnik Charged With Fraud Emil Botvinnik (CRD#: 4359481, New York, New York) is a previous registered representative of Meyers Associates, L.P. who was employed from June 19, 2012 to November 17, 2014. The Securities and Exchange Commission (“SEC”) filed a Complaint against Botvinnik alleging that he committed securities fraud. United States […]

TIMOTHY TILTON AYRE (TIMOTHY T. AYRE) of Agawam, Massachusetts had a complaint filed against him by FINRA on September 13, 2018, charging him with securities fraud and unlawful distribution of an unregistered cryptocurrency security called HempCoin. FINRA charged Ayre with the unlawful distribution of an unregistered security because he never registered HempCoin and no exemption […]

Richard Hughes, a former Wells Fargo advisor, has been suspended for 8 months and fined $10,000 by the Financial Industry Regulatory Authority, Inc. (FINRA). Allegedly, Hughes made unsuitable recommendations in unit investment trusts (UITs) and attempted to get a client to make false statements about commissions, according to a letter of acceptance, waiver and consent […]

Soreide Law Group, based in Florida, is currently investigating claims brought by former clients of: HARVEY ALAN WEISENFELD CRD#: 1187453   Harvey Weisenfeld was a registered broker and financial adviser formerly with ALLSTATE FINANCIAL SERVICES, LLC of INVERNESS, FL.  According to FINRA’s BrokerCheck, which is available to the public on FINRA’s website, Harvey Weisenfeld was […]