Latest Securities Lawyer News

Investors File Disputes About Credit Suisse Brokers Lily Pirouzian, Michael Brewster Credit Suisse Securities (USA) LLC (CRD#: 816) is an investment adviser firm regulated by the Securities and Exchange Commission (“SEC”) and brokerage firm regulated by the Financial industry Regulatory Authority (“FINRA”). Evidently, to date, the firm reports 272 instances in which securities regulators have […]

INVESTOR WARNING! Complaints Filed Against BBVA Securities Brokers Samuel Doria, Whitney Streck, Roberto Clynes BBVA Securities Inc. (CRD#: 27060, New York, New York) is a brokerage firm regulated by the Financial Industry Regulatory Authority (“FINRA”). Since establishment, BBVA Securities Inc. reports eight instances in which securities regulators or the firm’s customers have alleged the firm […]

FLOYD EARL POWELL (FLOYD POWELL) CRD#: 2220029 was barred on February 13, 2019, by the Financial Industry Regulatory Authority Inc. (FINRA) from acting as a broker or otherwise associating with a broker-dealer firm for allegedly selling nearly $3.5 million of promissory notes relating to the Woodbridge Group of Companies, a purported real estate investment fund […]

Soreide Law Group has filed a FINRA arbitration on behalf of their clients (Claimants) against: FSC SECURITIES CORPORATION (Respondent) The Claimants, a married couple from Texas, maintained a relationship with FSC Securities and their former financial advisor, Richard Gigliotti. Gigliotti is not named in the lawsuit. FSC Securities and Richard Gigliotti were allegedly made aware […]

INVESTORT ALERT: Customer Complaints Filed Against Presidential Brokerage, Gregory Williams Gregory Jon Williams (CRD#: 1561089, Greenwood Village, Colorado) is a licensed securities representative of Presidential Brokerage, Inc. Apparently, he has transacted with investors through the Greenwood Village, Colorado offices as early as April 20, 2011. The Financial Industry Regulatory Authority (“FINRA”), who regulates broker-dealers and […]

SEC Charges Westport Capital Markets, Christopher McClure With Fraud Westport Capital Markets president and CEO, Christopher Edward McClure (CRD#: 2289844, Westport, Connecticut), face charges by United States Securities and Exchange Commission (the “SEC”) for defrauding advisory customers. Specifically, on December 11, 2017, SEC filed Case 3:17cv2064 in the United States District Court for the District […]

FINRA Bars Morgan Stanley’s Stewart Malloy For Failure To Testify In Investigation Stewart Clinton Malloy (CRD#: 1029931, Riverhead, New York) is a now-terminated Morgan Stanley broker who the Financial Industry Regulatory Authority (“FINRA”) barred on January 19, 2019 for his failure to attend an on-the-record interview during an investigation into his trading practices. Evidently, FINRA’s […]

INVESTOR WARNING! Customer Complaints Brought Against Capital One Investing, Scott Allen Damico Scott Allen Damico (CRD#: 6065781, Irving, Texas) is a prior Capital One Investing, LLC financial advisor. Evidently, Damico worked at the firm’s Irving, Texas offices from January 2, 2015 to November 3, 2016. According to Damico’s Financial Industry Regulatory Authority (FINRA) BrokerCheck Report, […]

ATTENTION INVESTORS! Complaints Filed Concerning Cetera Brokers Todd Banducci, David Martin, Bradley Bowman, Joshua Beitel Cetera Advisors LLC (CRD#: 10299, Denver, Colorado) and Cetera Investment Services LLC (CRD#: 15340, Saint Cloud, Minnesota) are brokerage firms owned by Cetera Financial Group, Inc. which the Financial Industry Regulatory Authority (“FINRA”) regulates. Brokers of Cetera firms have reported […]