Investors potentially experienced losses because of securities broker Shadi Taysir Barakat (also known as Sean Barakat) [CRD: 5031281, New York, New York], according to disclosures on FINRA BrokerCheck. Specifically, Shadi Barakat worked for Alexander Capital, L.P. in Red Bank, New Jersey, from October 21, 2022, to October 24, 2022, and Spartan Capital Securities LLC in […]

FINRA BrokerCheck barred securities broker Roy Kevin Williams [CRD: 843607, Indianapolis, Indiana], according to disclosures on BrokerCheck. According to the regulator, Williams worked for Stifel Nicolaus Company Inc. from June 17, 2009, to May 16, 2023. Here’s more about the securities broker’s disclosures. FINRA Sanctioned Williams For Failing To Testify Specifically, on September 5, 2024, […]

FINRA is pursuing an enforcement action against securities broker Christopher James Christensen [CRD: 7680869, Issaquah, Washington], according to disclosures on FINRA BrokerCheck. According to the regulator, Christensen worked for Airlink Markets LLC from October 18, 2023, to March 20, 2024. FINRA has alleged that Christensen failed to provide documents and testimony as part of an […]

Financial Industry Regulatory Authority (FINRA) barred securities broker Reuben Lamont Brown [CRD: 7089559, Southlake, Texas], and Edward Jones investors complained about him, according to disclosures on BrokerCheck. Evidently, Reuben Brown worked for Edward Jones from August 2, 2019, to September 2, 2022. Keep reading to learn more about the securities broker’s disclosures. Brown Expelled By […]

Investors might have sustained losses due to securities broker Philip Anthony Riposo [CRD: 400056, Cave Creek, Arizona], and FINRA has sanctioned him, according to disclosures on the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Riposo was previously registered with United Planners' Financial Services of America A Limited Partner from December 7, 2015, to March 8, […]

FINRA and New Jersey Bureau of Securities have barred securities broker Vincent Pucciarelli [CRD: 2039846, Woodbridge, New Jersey]. Evidently, he worked for Investment Network Inc. from January 4, 2017, to August 9, 2023. Here's an overview of the regulatory actions involving Pucciarelli. New Jersey Bureau Of Securities Sanctions Pucciarelli Vincent Pucciarelli faced sanctions from New […]

Soreide Law Group is actively investigating potential claims on behalf of investors who sustained financial losses associated with Robert Charles Starnes (CRD: 1429794, Wauwatosa, Wisconsin). Notably, he worked for SA Stone Wealth Management Inc. in Wauwatosa, Wisconsin, from December 6, 2019, to May 16, 2023, and Quest Capital Strategies, Inc. in Laguna Hills, California, from […]

Soreide Law Group is investigating possible investor claims against Jason Lee Pintus (CRD: 5239408, Point Pleasant Beach, New Jersey). Notably, FINRA sanctioned the securities broker, who worked for Monmouth Capital Management LLC. Allegedly, Pintus failed to testify when FINRA conducted an investigation. Here is a brief summary of FINRA’s allegations against Pintus. Pintus Barred By […]

Soreide Law Group is investigating possible investor claims against Helen Grace Caldwell (also known as Helen Grace Corpuz) (CRD: 1957501, Chicago, Illinois). Notably, FINRA sanctioned the securities broker, who worked for Citigroup Global Markets Inc. Allegedly, Caldwell failed to testify when FINRA carried out an investigation. Here is a brief summary of FINRA’s allegations against […]