Breach Of Fiduciary Duty Alleged By Clients Of Barred Broker Greg McKinney Two more investor disputes have surfaced on the FINRA BrokerCheck Report for James Gregory McKinney (CRD#: 2100850, Tulsa, Oklahoma). Notably, FINRA barred McKinney as a stockbroker for failing to testify regarding his alleged sales practice violations. Not only that, but clients have filed […]

Broker Brendan Shaw Allegedly Made Excessive, Unsuitable Trades Investor Alert! FINRA reports alarming information about Brendan Patrick Shaw [CRD#: 4721215, Scottsdale, Arizona]. Namely, Washington Securities Division sanctioned Shaw–a securities broker for Purshe Kaplan Sterling Investments (“PKS”) who also associated with Thomson Financial Advisors. Not only that, but at least 3 clients brought disputes about him. […]

UBS Clients Indicate That Broker Gerard Costello Misrepresented Investments Soreide Law Group is reviewing possible investor claims against securities broker Gerard Costello [CRD#: 1551511, New York, NY]. Apparently, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck shows that at least 3 clients raised serious concerns about the securities broker, who joined UBS Financial Services on November 20, […]

Investors File Disputes About Broker James Pecoraro Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports alarming information in regard to securities broker James Pecoraro [CRD#: 2440231, Garden City, New York]. Evidently, at least 10 clients raised serious concerns about the securities broker, who worked for SW Financial between 2016 and 2019 and who joined […]

FINRA Sanctions Broker David Fleming For Not Paying Customer Arbitration Award Investor Alert! FINRA reports alarming information in regard to securities broker David Wilson Fleming Jr. [CRD#: 1021968, White Plains, New York]. Notably, FINRA suspended Wilson twice. In addition, at least two investors raised serious concerns about the securities broker, who most recently worked for […]

Newport, Paulson Investors Suggest Broker John Tarpinian Breached Fiduciary Duty Soreide Law Group is investigating potential investor claims against securities broker John Tarpinian [CRD#: 1013555, New York, New York]. Notably, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck shows that 12 clients contested securities recommendations or sales made by Tarpinian, who associated with Newport Coast Securities (“Newport”) […]

Newbridge Clients Take Aim At Guy Magarelli For Allegedly Making Unsuitable Trades Soreide Law Group is investigating potential investor actions to recover losses caused by securities broker Gaetano “Guy” Magarelli [CRD#: 2227996, Boca Raton, Florida]. Notably, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck reports that no less than 6 clients contested the securities recommendations or sales […]

FINRA Bars UBS Financial Services Broker David Fagenson Investor Alert! FINRA discloses troubling information about securities broker David Fagenson [CRD#: 1652012, Boca Raton, Florida]. Not only has FINRA barred Fagenson for failing to comply with its requests, but at least 11 clients took issue with the securities broker, who worked for Newbridge Securities Corporation between […]

Barred Broker Donnell Bowen Mentioned In Client Disputes Evidently, investors are coming forward with disputes concerning securities broker Donnell Bowen (CRD#: 5641822, Washington, DC). Notably, the securities broker, who associated with Northwestern Mutual Investment Services from April 2, 2009 to February 1, 2017, reports 14 investor disputes on Financial Industry Regulatory Authority (“FINRA”) BrokerCheck. Apparently, […]