Investors might have sustained losses due to securities broker Lawrence William Waller II [CRD: 3232644, Atlanta, Georgia], given the disclosures on the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Keep reading to learn more about Waller's disclosures. Waller worked for firms including Securities America Inc., WRP Investments Inc., Stonex Securities Inc. (SA Stone Wealth Management Inc.), […]

Investors might have sustained losses due to Joseph C. Desapio [CRD: 5837553, New York, New York], and FINRA sanctioned the securities broker, based on the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Joseph Desapio worked for Spartan Capital Securities LLC from May 5, 2017, to July 27, 2022. He was discharged when Spartan […]

Investors might have sustained losses due to securities broker Daniel Benjamin Kistler [CRD: 6203300, Rome, Georgia], based on the disclosures on the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Kistler has been registered with Dempsey Lord Smith LLC since October 13, 2016. To learn more about the client disputes, keep reading. Dempsey Lord Smith LLC […]

Investors might have sustained losses due to securities broker Vincent Anthony Sharpe (also known as Vincent Ottomanelli-Sharpe) [CRD: 5435813, Syosset, New York], according to disclosures on FINRA BrokerCheck. Evidently, Vincent Sharpe worked for Aegis Capital Corp. from August 5, 2016, to October 18, 2019, in Red Bank, New Jersey. Following his employment at Aegis Capital […]

Investors might have sustained losses because of securities broker Stefan Ara Shimshidian [CRD: 3043669, White Plains, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Shimshidian joined Cabot Lodge Securities LLC on June 29, 2013. Continue reading to learn more about Shimshidian's disclosures. Cabot Lodge Securities LLC Investor Accused Shimshidian Of […]

Investors might have sustained losses because of securities broker Scot Barringer [CRD: 1385168, San Clemente, California], according to disclosures on FINRA BrokerCheck. Evidently, Barringer joined American Trust Investment Services Inc. on July 22, 2020, and Chicago Capital Management Advisors LLC on July 23, 2020. Previously, he worked for Westpark Capital Inc. from 2016 to 2020. […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Ruben Javier Frezzotti [CRD: 4439983, Coral Gables, Florida], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Frezzotti's employment at Raymond James Associates Inc., spanning from February 13, 2013, to October 10, 2023, has been marked by […]

Investors might have sustained losses because of securities broker Michael Scott Barrows [CRD: 2933260, Irvine, California], according to disclosures on FINRA BrokerCheck. Evidently, Barrows joined M Stevens Securities LLC and M Stevens Wealth Advisors LLC, both located in Irvine, CA, on June 9, 2023, and April 4, 2018, respectively. He previously worked for Kingswood Capital […]

Investors might have sustained losses because of securities broker John Calderwood Starke Sr. [CRD: 3154774, Mechanicsville, Virginia], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Starke worked for Centaurus Financial Inc. from June 26, 2015, to January 2, 2024. Continue reading to learn more about Starke's disclosures. Centaurus Financial Inc. Investor Accused […]