FINRA barred securities broker Alan K. Ngo [CRD: 4273116, Freehold, New Jersey], given the publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Ngo worked for PFS Investments Inc. from January 2, 2003, to November 25, 2025. See below to learn more about Ngo’s disclosures. FINRA Sanctioned Ngo For Failing To Comply During Investigation […]

FINRA barred securities broker Kevin Christopher McCarthy [CRD: 1702715, Hialeah, Florida], and investors complained about him, based on public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. McCarthy worked for Madison Avenue Securities LLC from December 4, 2007, to January 30, 2026. Investors are encouraged to continue reading to find out more about McCarthy’s […]

FINRA barred securities broker Mohammed Anayet Karim [CRD: 4419277, Lakeland, Florida], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Karim worked for BB&T Securities LLC from September 24, 2018, to February 17, 2021, and Truist Investment Services Inc. from February 17, 2021, to August 8, 2025. See the following information to […]

FINRA aims to bar securities broker James Joseph Lukezic [CRD: 4284800, North Miami Beach, Florida], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Lukezic has been associated with Old Slip Capital Management Inc. since January 25, 2019, and Old Slip Registered Investment Advisors LLC since February 27, 2019. Previously, he was associated with […]

Soreide Law Group has filed the second FINRA arbitration recently on behalf of our client (Claimant) who was also a client JONATHAN MALINGER against: WEDBUSH SECURITIES INC. (Respondent) The Claimant, who resides in Idaho, brings this claim to recover losses caused by the Respondent. The lawsuit alleges that the Respondent’s former Financial Advisor, JONATHAN HILTON […]

FINRA brought an enforcement action against securities broker John Demetrios Polemis (also known as John Dimitri Polemis) [CRD: 4270012, New York City, New York], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Polemis worked for Park Avenue Securities LLC from April 21, 2022, to March 1, 2024, and Stirlingshire Investments from March 18, […]

FINRA barred securities broker Norman Lynn Hill [CRD: 1535969, Wellesley, Massachusetts], according to public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Hill worked for Ameriprise Financial Services LLC from March 8, 2024, to October 13, 2025, and previously worked for Citizens Securities Inc. from January 25, 2007, to January 29, 2024. See below […]

FINRA barred securities broker Pablo Leonel Gherardi [CRD: 4602689, Miami, Florida], and one or more investors complained about him, given the publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Gherardi worked for Jefferies LLC from May 5, 2017, to December 6, 2024. Investors are encouraged to continue reading to discover more about the […]

FINRA barred securities broker Marcelo Javier Poliak [CRD: 2465622, Miami, Florida], and multiple investors complained about him, according to public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Marcelo Poliak worked for Jefferies LLC from May 5, 2017, to December 6, 2024. See the following information to find out more about disclosures involving Poliak […]