ALEXANDER INVESTMENT SERVICES CO. was censured and fined $25,000.00 as part of a settlement with the Financial Industry Regulatory Authority (FINRA). Their main office location is in Louisville, Kentucky. Without admitting or denying FINRA’s findings, ALEXANDER INVESTMENT SERVICES consented to the sanctions and to the entry of findings that it allegedly failed to comply with […]

BRYON EDWIN MARTINSEN (BRYON E MARTINSEN) was registered as a broker with CENTAURUS FINANCIAL INC of Kings Park, New York from 10/07/1999 - 09/16/2022.  Martinsen is currently not registered with any firm. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, BRYON E MARTINSEN has 35 years of experience in the securities industry […]

FINRA barred securities broker John Michael Palma [CRD: 6848651, New York, New York], and investors complained about him, according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Palma worked for Spartan Capital Securities LLC from September 15, 2022, to March 17, 2025, SW Financial from December 10, 2019, to September 14, 2022, and Worden […]

Investors apparently complained about securities broker Fariba Zehtabian Madison [CRD: 1178259, Los Alamitos, California], based on publicly available information FINRA BrokerCheck. Evidently, Madison has been registered with Vanderbilt Securities LLC since June 4, 2025, and with Vanderbilt Advisory Services since June 6, 2025. Previously, she was associated with Western International Securities Inc. from November 19, […]

Investors reportedly complained about securities broker Rocco Gerard Guidicipietro (also known as Rocco Peters) [CRD: 2489732, Red Bank, New Jersey], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Guidicipietro has been registered with Alexander Capital L.P. since February 17, 2012. Keep reading to learn more about Guidicipietro’s disclosures and the disputes connected […]

Investors might have sustained losses due to securities broker Elaine Marie Zito [CRD: 2849238, Scottsdale, Arizona], according to disclosures on FINRA BrokerCheck. Evidently, Zito worked for Newbridge Securities Corporation from November 28, 2016, to November 1, 2019. Read on to discover more about the disclosures involving Zito. Newbridge Securities Corporation Investor Accused Zito Of Breach […]

DAVID VICTOR JANNY (DAVID V JANNY) has been registered both as an investment advisor and as a broker with AMERIPRISE FINANCIAL SERVICES, LLC of Westport, Connecticut since 7/15/2022.  He was previously registered as an investment advisor and broker with MORGAN STANLEY of Westport, Connecticut from 11/21/2012 - 08/03/2022. According to FINRA’s BrokerCheck, available to the […]

Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: LANDOLT SECURITIES, INC. (Respondent). The Claimant resides in Florida and is in his late sixties.  The Claimant met LANDOLT SECURITIES’ former registered representative, MICHAEL ARTHUR SEBALD (MICHAEL A SEBALD, MIKE SEBALD) on or about 2020. The lawsuit alleges that LANDOLT […]

Investors potentially experienced sales practice violations due to securities broker Timothy Eugene Brown (also known as Tim Brown) [CRD: 1663519, Winneconne, Wisconsin], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Brown worked for Emerson Equity LLC in Encinitas, California, from August 31, 2016, to July 1, 2024, and is currently registered […]