Investors potentially experienced sales practice violations by securities broker Daniel Coral Goodwin (also known as Dan Goodwin) [CRD: 5752768, The Woodlands, Texas], based on disclosures located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Goodwin worked for AAG Capital Inc. from March 9, 2022, to June 6, 2024, Great Point Capital LLC from June 3, 2024, […]

Investors potentially incurred losses because of securities broker Frederick Earl Hohensee (also known as Fred Hohensee and Freddy Hohensee) [CRD: 1431948, Elkhorn, Wisconsin], given the publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Frederick Hohensee has worked for Abacus Investments Inc. since March 3, 1994, and Hohensee Financial Services Inc. since February […]

Investors apparently complained about securities broker Joel Anthony Benanti [CRD: 4210681, Hauppauge, New York], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Joel Benanti worked for Network 1 Financial Securities Inc. from June 17, 2019, through May 31, 2024. See the following information to find out more about the disclosures involving Joel […]

Soreide Law Group has been contacted by investors who may have experienced losses in the following DSTs (Delaware Statutory Trusts) through Four Springs Capital Trust as part of Section 1031 tax-deferred exchanges. Four Springs TEN31 Xchange Four Springs Capital Trust is a real estate investment trust (REIT) that acquires and manages single-tenant, net-leased properties for […]

CHRISTOPHER CHARLES LAFFEY (CHRISTOPHER C LAFFEY) is currently registered as a broker with ALEXANDER CAPITAL, L.P. of Red Bank, New Jersey, since 12/16/2015. According to FINRA’s BrokerCheck, which is available to the public on FINRA’s website, CHRISTOPHER C LAFFEY has 47 years of experience in the securities industry and has been listed with 10 firms.  […]

CHARLES HENRY GARRIDO (CHARLES HENRY GARRIDO JR, CHARLES H GARRIDO) is currently registered both as a broker and investment advisor since 10/30/2018 with A.G.P. / ALLIANCE GLOBAL PARTNERS of Chicago, Illinois. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, CHARLES H GARRIDO, has been in the securities industry for 42 years and […]

PAUL RICHARD MEYER (PAUL R MEYER) was previously registered as a broker and is currently registered as an investment advisor with AEGIS CAPITAL CORP of Edina, Minnesota since 2/17/2026. Meyer was registered as a broker with RBC CAPITAL MARKETS LLC of Minnetonka, Minnesota from 10/11/2017 - 01/26/2026. According to SEC’s website, available to the public, […]

KEITH MICHAEL DAGOSTINO (KEITH M DAGOSTINO, KEITH DAGOSTINO) was fined $25,000.00 and suspended from acting as a broker by FINRA for 24 months with a start date of 1/5/2026 and end date of 1/4/2028.  Dagostino was previously registered with EF HUTTON LLC of Woodbury, New York, from 10/30/2023 - 10/30/2024, and AEGIS CAPITAL CORP of […]

Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against, AEGIS CAPITAL CORP.  and their registered representative, WILLIAM J CARLTON (Respondents). The Claimant is in his 80s, retired, and living in South Florida. The lawsuit alleges negligence, misrepresentations, and breach of fiduciary duty, of AEGIS CAPITAL CORP and their registered […]