FINRA Bars Peter Ianace For Violating FINRA Rules The Financial Industry Regulatory Authority (“FINRA”) reports troubling information in regard to securities broker Peter V. Ianace (CRD#: 3238078, Plano, Texas). Significantly, the financial industry watchdog took away Ianace’s ability to be a securities broker for a FINRA firm, which includes nearly all major securities firms in […]

Barred Broker Joseph Thurnherr Possibly Breached Fiduciary Duty Soreide Law Group is reviewing possible investor claims of sales practice violations by Joseph Thurnherr (CRD#: 5045624, Red Bank, New Jersey). Notably, FINRA barred Thurnherr for refusing to supply information while under investigation for client complaints. Not only that, but 7 of Thurnherr’s investor clients filed disputes […]

Broker Jerry Raines Purportedly Misrepresents Woodbridge Investments To Clients Investors are filing disputes because of the actions of securities broker Jerry Raines [CRD#: 4578689, Kilgore, Texas]. Notably, the securities broker, who worked for Signal Securities and HD Vest Investment Services, reports 17 investor disputes on Financial Industry Regulatory Authority (“FINRA”) BrokerCheck. Apparently, Signal Securities clients […]

Northwestern Mutual's John Chrysadakis Barred For Refusing To Cooperate With FINRA Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports alarming allegations of improprieties by Northwestern Mutual Investment Services securities broker John Chrysadakis [CRD#: 5680661, Norwalk, Connecticut]. Aparently, not only has FINRA barred Chrysadakis, but a client disputed his sales practices. Also, Northwestern Mutual ended […]

Banker's Life Broker Jefferey Dyra Possibly Misappropriated Funds Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports alarming information in regard to securities broker Jefferey Dyra [CRD#: 6785909, Naperville, Illinois]. Supposedly, at least two clients raised serious concerns about the securities broker, who worked for Bankers Life Securities until it disaffiliated with him in 2019 […]

SEC Bars Richard Cody After He Pleads Guilty To Investment Adviser Fraud Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports alarming information in regard to securities broker Richard Cody [CRD#: 2794558, Spring Lake, New Jersey]. Not only has the Securities and Exchange Commission (“SEC”) and Financial Industry Regulatory Authority (“FINRA”) both barred the securities […]

ROBERT MONTES Barred By FINRA The Financial Industry Regulatory Authority (“FINRA”) announced July 24, 2019 that it barred Morgan Stanley securities broker Robert Montes (CRD#: 835488, Palm Harbor, Florida). Evidently, Montes, who worked for Morgan Stanley from 2014 until 2019,  flat out refused to cooperate with FINRA who investigated him for his possible misuse of […]

INVESTOR ALERT: FINRA Bars Coastal Equities’ SAM AZIZ Because Of Excessive Trading Investigation The Financial Industry Regulatory Authority (“FINRA”) barred David A. Noyes broker Sam Aziz (CRD#: 1721932, Dublin, Ohio) from the securities industry. Evidently, Aziz executed a Letter of Acceptance, Waiver and Consent (“AWC”) #2017052325701 on March 18, 2019, which FINRA accepted March 27, […]

FINRA Bars MICHAEL CASTILLERO After Unauthorized Trading Allegations Surface Michael Alejandro Castillero (CRD#: 4583917, New York, New York) is an ex Alexander Capital, L.P. securities broker who the Financial Industry Regulatory Authority (“FINRA”) barred for refusing to cooperate while under investigation. Specifically, Castillero submitted a Letter of Acceptance, Waiver and Consent (“AWC”) #: 2018058649501 on […]