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 […]

Broker Sonia Balfour-Fears Involved in Merrill Lynch Investor Dispute The Financial Industry Regulatory Authority (FINRA) BrokerCheck contains new disclosures on securities broker Sonia Balfour-Fears (CRD#: 5864524, Atlanta, Georgia). Evidently, Balfour-Fears worked as a securities broker and financial advisor with Merrill Lynch Pierce Fenner Smith from 2011 to January 2021. She joined Morgan Stanley in January […]

Securities Broker Anthony Tricarico (Aegis) Involved In Investor Dispute, Sanctioned By FINRA Soreide Law Group is reviewing potential investor disputes relating to securities broker Anthony Tricarico (CRD#: 1047416, New York, New York). Tricarico worked for Aegis Capital Corp from March 2010 to July 2020. According to Financial Industry Regulatory Authority (FINRA) BrokerCheck, he faces disputes […]

Soreide Law Group has obtained the following information on the SW FINANCIAL of New York, NY, broker, from FINRA’s Disciplinary Report October of 2021:  JOHN SEBASTION CANGIALOSI (JOHN S CANGIALOSI, JOHN SEBASTION CANGIALOSI JR.) (CRD #3273830, Manalapan, New Jersey) On August 12, 2021 an Acceptance, Waiver, and Consent (AWC) was issued in which John S […]

Securities Broker John Santariello Gets Barred By FINRA, Accused Of Sales Practice Violations Including Excessive Trading, Churning Soreide Law Group has learned through Financial Industry Regulatory Authority (FINRA) BrokerCheck that the regulator barred John Joseph Santariello (CRD#: 5746158, Coram, New York). Evidently, Santariello worked for securities firms KC Ward Financial, National Securities Corporation, Wilmington Capital […]

Broker Frank Venturelli Ordered To Pay Fine By NJ Regulator The New Jersey Bureau of Securities reported that it sanctioned securities broker Frank Venturelli (CRD#: 6403468, Bay Ridge, New Jersey). Evidently, he is also known by the name Frank Vaughn. Notably, the securities broker, who worked for FINRA-member firms First Standard Financial Company (2014 to […]

Securities Broker Sam Aziz Allegedly Made Excessive, Unsuitable Trades In Wells Fargo Investor Accounts Investor Alert! FINRA BrokerCheck shows that investors brought lawsuits alleging sales practice violations by barred broker Sam Aziz (Sam Yehya, Sam Azizieh) (CRD#: 1721932, Dublin, Ohio). Evidently, Aziz worked for Wells Fargo (2012 to 2015), Coastal Equities (2015 to 2018) and […]

Broker Rich Coleman Suspended By FINRA Again Soreide Law Group is examining whether to bring investor lawsuits against securities broker Richard James Coleman (CRD#: 2720422, Melville, New York). Specifically, Coleman is presently under a FINRA suspension for not paying a FINRA Arbitration Award. Not only that, but FINRA issued him a hefty two-year suspension along […]

FINRA Investigates Whether Westpark Capital's Harry Datys Sold Unsuitable And Misrepresented Investments Soreide Law Group is reviewing potential lawsuits on behalf of investors against securities broker Harry Datys (CRD#: 1877750, New York, New York). Apparently, Financial Industry Regulatory Authority (“FINRA”) recommends disciplinary action against the securities broker, who worked for Westpark Capital from June 10, […]