DAVID KITCHEN FRANKLIN (DAVID K FRANKLIN) was permanently barred by FINRA from acting as a broker or otherwise associating with a broker/dealer firm on 10/21/2025.  Franklin was formerly registered as a broker with INTEGRAL WEALTH SERVICES LLC of New York, NY from 08/06/2018 - 06/09/2025. According to the FINRA report, without admitting or denying FINRA’s […]

The private market, once the exclusive playground of institutional investors, has increasingly opened its doors to individual investors seeking a piece of the next unicorn. Funds like the Advanced Technology Select Funds - targeting high-profile private companies such as Flexport, Plaid, and Cybereason - are a prime example of this trend. While the prospect of […]

Soreide Law Group, PLLC At Soreide Law Group, we help investors, shareholders, and publicly traded companies navigate the complex federal rules governing the resale of restricted or control securities. Our attorneys understand that clearing restrictive legends and ensuring compliance with Rule 144 or other resale exemptions can be time-sensitive and critical to protecting shareholder rights. […]

FINRA barred securities broker Emma Marie McAuley [CRD: 7178199, Auburn, Washington], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, McAuley worked for Edward Jones from November 4, 2019, to March 19, 2024. Keep reading to learn more about McAuley’s disclosures. FINRA Sanctioned McAuley For Failure To Respond Notably, on January 21, 2025, […]

Investors reportedly complained about securities broker Andrew Spiro Pandis [CRD: 2928410, Forest Hills, New York], according to disclosures on FINRA BrokerCheck. Evidently, Pandis worked for Cetera Investment Services LLC from December 1, 2017, to July 24, 2025. Read on to discover more about the disclosures involving Pandis. Essex National Securities LLC Investor Accused Pandis Of […]

AEGIS CAPITAL CORP, with its main office located in New York, was censured, and fined $275,000.00 according to the FINRA report dated October 17, 2025. A recent article from FNG, states that since 2019, AEGIS CAPITAL CORP has paid several million dollars to its corporate parent. Allegedly, Aegis recorded the payments in its general ledger […]

Robert David Bienvenu (Bobby Bienvenu, Robert D Bienvenu) was permanently barred by FINRA on 10/16/2025 from acting as a broker or otherwise associating with a broker/dealer firm. Bienvenu was previously listed as a broker with Edward Jones of Harahan, Louisiana from 09/24/2024 - 08/05/2025. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, […]

Investors reportedly complained about securities broker Michael Wayne Corrada [CRD: 709158, Richmond, Virginia], based on publicly available information Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Corrada worked for Coastal Equities Inc. from January 5, 2015, to September 12, 2019, and later for Center Street Securities Inc. from September 12, 2019, to December 3, 2020. Read […]

Investors potentially experienced sales practice violations due to securities broker Brian Lee Culver [CRD: 6392736, Kalamazoo, Michigan], based on disclosures on FINRA BrokerCheck. Evidently, Culver has been registered with Cambridge Investment Research Inc. since January 5, 2015, and with Cambridge Investment Research Advisors Inc. since October 28, 2015. Keep reading to learn more about the […]