Investors might have sustained losses through securities broker Andrew Jon Galy (also known as Andy Jon Galy) [CRD: 1915564, Metairie, Louisiana], based on public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Galy worked for Cambridge Investment Research Inc. from February 25, 2014, to December 31, 2022. Keep reading to find out more […]

Pruco Securities Investor Files Dispute About Broker James Prosperi The Financial Industry Regulatory Authority (“FINRA”) shows on BrokerCheck that investors filed disputes about securities broker James Vincent Prosperi (CRD#: 2337125, Pittsford, New York). Also, BrokerCheck reports misconduct allegations associated with Prosperi’s departure from Pruco Securities and Merrill Lynch. Here’s more about the securities broker. Pruco […]

MICHAEL SPOLAR Dealt FINRA Suspension The Financial Industry Regulatory Authority (“FINRA”) issued a 15-month suspension to International Assets Advisory LLC (“IAA”) securities broker Michael Spolar (CRD#: 2192992, Orlando, Florida). Evidently, Spolar executed a Letter of Acceptance, Waiver and Consent (“AWC”) on July 16, 2019, which FINRA accepted ten days later. Notably, Spolar’s suspension, effective August […]

The following information was obtained on FINRA's website from their March 2016 Disciplinary Report. Stephen M. Oberman (CRD #1309066, Naperville, Illinois) was fined $10,000 and suspended by FINRA for four months for allegedly falsifying signatures on LOAs requesting fund disbursements from, and changes of address to, the account of a client of his member firm. […]

Eric William Johnson (CRD #2142522, Hinsdale, New York) was barred by FINRA for the alleged misappropriation of more than $1 million from at least six firm customers’ brokerage accounts at his member firm. Eric Johnson was register in the securities industry for 23 years. FINRA's findings stated that Johnson made wire transfers of funds from […]

Florida broker Emily Palmer Vitale, with Florida Investment Advisors now known as BT Wealth Advisors, a subsidiary of The Tampa Banking Co., was fined $5000 and suspended for three months by FINRA for allegedly forging a client’s signature. In January 2014, Vitale allegedly cut and pasted a customer’s signature from another document to another. Christopher […]

The following information was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2013,” by Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552. Michael John Woods (CRD #1884701, Registered Principal, Dexter, Michigan) was fined $20,000 and suspended from association with any FINRA member in any capacity for two years. Without admitting […]

The Soreide Law Group, PLLC, a Securities Arbitration Law Firm, (888) 760-6552, found the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, April, 2013.” Arthur Apostol (CRD #2265647, Registered Representative, Ashford, Connecticut) was fined $5,000 and suspended from association with any FINRA member in any capacity for three months. Without admitting or […]

John Herman Fick (CRD #4197483, Registered Representative, Fuquay-Varina, North Carolina) was fined $5,000 and suspended from association with any FINRA member in any capacity for 18 months. This fine must be paid either upon Fick’s reassociation with a FINRA member firm after his suspension, or before the filing of any application or request for relief from any statutory […]