Broker Rocco Roveccio Sanctioned By FINRA, SEC The Financial Industry Regulatory Authority (“FINRA”) just sanctioned First Standard Financial Company securities broker Rocco Roveccio (CRD#: 2713144, Red Bank, New Jersey). The sanctions come after SEC barred the securities broker and after 6 investors filed disputes against him. Namely, these disclosures suggest that Roveccio sold unsuitable investments […]

Investors Indicate That Larry Fawcett Misrepresented Investments Soreide Law Group is looking into potential investor disputes against securities broker Lawrence “Larry” John Fawcett Jr. [CRD#: 5851474, Los Angeles, California]. Notably, Financial Industry Regulatory Authority (“FINRA”) sanctioned the securities broker 3 times between 2017 and 2019. Also, at least 8 clients brought complaints about Fawcett, and […]

New Jersey Bureau Of Securities Revokes Ramon Herrera's Securities Agent, Investment Adviser Representative Registration Following FINRA Bar Soreide Law Group is investigating potential investor claims of bad business practices by securities broker Ramon Herrera [CRD#: 6021170, Jersey City, New Jersey]. Notably, New Jersey Bureau of Securities and Financial Industry Regulatory Authority (“FINRA”) imposed serious sanctions […]

RBC Broker Dan Peltier Fined, Suspended For Stock Manipulation Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports troubling allegations of sales practice violations by RBC Capital Markets securities broker Dan Peltier [CRD#: 2677761, Stillwater, Minnesota]. Not only has FINRA sanctioned the securities broker, but at least 3 clients disputed his sales practices. Altogether, these […]

Losses due to KEVIN WARES? The Financial Industry Regulatory Authority (“FINRA”) confirms through BrokerCheck that clients disputed the sales practices of securities broker Ahmad (“Kevin”) Wares (CRD#: 2959624, Melville, NY). Notably, clients’ claims suggest Kevin Wares made excessive, unauthorized and unsuitable trades at the expense of his customers. Here’s a summary of some disputes involving […]

ADAM BELARDINO Discharged By MassMutual MML Investors Services, LLC (“MassMutual”) disclosed through Financial Industry Regulatory Authority (“FINRA”) BrokerCheck that it terminated securities broker Adam Belardino (CRD#: 5221927, Elmsford, New York). According to MassMutual, it discharged Belardino following an investigation into a client complaint. Notably, FINRA BrokerCheck shows that four investors took aim at Belardino’s sales […]

INVESTOR ALERT: FINRA Files Complaint Against Columbus Advisory Group’s MICHAEL MURPHY The Financial Industry Regulatory Authority (“FINRA”) announced that it filed a Complaint against Columbus Advisory Group, LTD securities representative Michael Patrick Murphy (CRD#: 2596905, New York, New York). Specifically, FINRA Department of Enforcement claims Murphy did not report a total of $6,000,000 in NY […]

INVESTOR ALERT! Customer Disputes Involving Robert W. Baird Brokers MARK FALCI, MICHAEL COLLINS Soreide Law Group is investigating claims on behalf of those who have invested with Robert W. Baird & Co. incorporated (CRD#: 8158, Milwaukee, Wisconsin), which is a FINRA and SEC regulated brokerage firm and investment adviser firm doing business throughout the United […]

UBS Discloses Misconduct Allegations Against Brokers Julian Gingold, Robert Shultz, Gayle Dilla UBS Financial Services (CRD#: 8174, Weehawken, New Jersey), which is FINRA registered brokerage firm and SEC registered investment adviser firm, has disclosed through FINRA BrokerCheck that several of its own employees allegedly engaged in misconduct harming UBS Financial Services customers. For example, take […]