Aegis Capital Clients Allege Sales Practice Violations By Dennis Herrera The Financial Industry Regulatory Authority (FINRA) contains important information concerning securities broker Dennis Daniel Herrera (CRD#: 4618370, Miami, Florida). BrokerCheck shows that Herrera has worked as an Aegis Capital Corp. securities broker since March 2016. He also worked for firms including Blackbook Capital and Hunter […]

Cadaret Grant Client Alleges Unsuitable OTC Trades By Broker Gerald Dewes The Financial Industry Regulatory Authority (FINRA) contains new disclosures in regard to securities broker Gerald Roger Dewes (CRD#: 2465538, East Amherst, New York). Namely, Dewes, who used to work for securities firm Cadaret Grant Co., faces investor disputes. Not only that, but FINRA barred […]

Investor Disputes Allege Breach Of Fiduciary Duty, Churning By Worden Capital Securities Broker Nicholas Schiano Investors reportedly complained about securities broker Nicholas James Schiano (CRD#: 4429212, New York, New York). Evidently, the securities broker worked for securities firms, including Legend Securities (2013 to 2016), Worden Capital Management (2016 to 2017), and Spartan Capital Securities (August […]

Securities Broker Mike Farrell (Aegis Capital Corp) Accused Of Sales Practice Violations The Financial Industry Regulatory Authority (FINRA) has new disclosures on BrokerCheck regarding securities broker Michael James Farrell (“Mike Farrell”) (CRD#: 2282842, Red Bank, New Jersey). Namely, Farrell, who worked as a securities broker for Aegis Capital Corp from August 2016 to May 2019, […]

Broker Matt Kildis Involved In Disputes Alleging Unsuitable Recommendations, Misrepresentation Soreide Law Group is reviewing potential investor disputes against securities broker Ahmet Kildis (“Matt Kildis”) (CRD#: 2058173, Hudson, Florida). FINRA BrokerCheck shows that Kildis works for Fifth Third Securities and used to work for SunTrust Securities. Notably, three investors filed disputes about the broker, and […]

FINRA Launches Investigation Into Securities Broker Antoine Souma Relating To Possible Concealment Of Client Complaint It appears that securities broker Antoine Nabih Souma (CRD#: 4210987, Los Angeles, California) is under FINRA investigation. Essentially, FINRA says in a December 2020 disclosure that it might take disciplinary action against Souma for possibly violating FINRA and MSRB rules […]

Investors Allege Sales Practice Violations By Securities Broker Chris Shaw (Kalos Capital, Pruco Securities) According to the Financial Industry Regulatory Authority (FINRA), securities broker Christopher John Shaw "Chris Shaw" (CRD#: 5011382, Belmont, North Carolina) is involved in investor disputes. The securities broker worked for Blackbird North America, Kalos Capital, Kalos Management, Pruco Securities, Prudential Financial […]

Aegis Capital Corp Clients File Disputes About Securities Broker Brian Rockowitz It has come to the attention of Soreide Law Group through Financial Industry Regulatory Authority (FINRA) BrokerCheck that there are investor disputes filed against securities broker Brian David Rockowitz (CRD#: 1892992, Hauppauge, New York). Specifically, five investors who allegedly experienced damages because of the […]

Securities Broker Mitchell Silverman Facing Disputes From Raymond James Clients Soreide Law Group has new information to share with you in regard to securities broker Mitchell Louis Silverman (CRD#: 500504, Boca Raton, Florida). Notably, the Financial Industry Regulatory Authority (FINRA) shows that six investors filed investment disputes about the securities broker, who worked for securities […]