JOHN RAYMOND LISOWSKI CRD#: 1011572, along with his firm, STIFEL, NICOLAUS & COMPANY, INC., was ordered by a FINRA arbitration panel to pay $500,000.00 to a client who alleged over-concentration and unauthorized trading. Lisowski is currently a registered representative at Stifel, Nicolaus & Co in Pittsburgh, Pennsylvania. According to FINRA, the client filed the claim […]

IAA Broker Carleton Boothe Possibly Breached A Fiduciary Duty To Investors Evidently, investors are coming forward with disputes concerning securities broker Michael “Carleton” Boothe [CRD#: 2160227, Fort Lauderdale, Florida]. Apparently, the securities broker, who associated with International Assets Advisory from 2014 to 2018, reports 2 investor disputes on Financial Industry Regulatory Authority (“FINRA”) BrokerCheck. Notably, […]

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 […]

CURTIS ILE Issued Suspension By FINRA The Financial industry Regulatory Authority (“FINRA”) announced that it has suspended Sigma Financial Corporation securities broker Curtis Ile (CRD#: 4009787, Mount Carmel, Illinois). Ile evidently mismarked order tickets, exercised discretion improperly, and failed to review information before making recommendations. The suspension, effective June 3, 2019 to December 2, 2019, […]

MICHAEL BASTARDI Barred By FINRA (INVESTOR ALERT!) The Financial Industry Regulatory Authority (“FINRA”) announced that it barred Securities America, Inc. securities broker Michael Bastardi (CRD#: 6015424, Warwick, NY). Evidently, in a Letter of Acceptance, Waiver, and Consent (“AWC”) #: 2018059770401 which Bastardi submitted on May 10, 2019, and FINRA accepted on May 24, 2019, Bastardi […]

Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: FIRST STANDARD FINANCIAL COMPANY, LLC (“FIRST STANDARD”), and their registered representative,  JOSEPH JOHN ORLANDO, JR. (“ORLANDO”), CRD# 2882204 The Claimant, a resident of Massachusetts, allegedly received a cold call on or about October of 2018, from FIRST STANDARD broker, JOSEPH […]

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 […]

The Financial Industry Regulatory Authority Inc. (FINRA) has barred DANIEL TODD LEVINE CRD#: 2874319 from acting as a broker or otherwise associating with a broker-dealer firm on January 8, 2019. According to FINRA’s BrokerCheck, without admitting or denying the findings, DANIEL TODD LEVINE consented to the sanction and to the entry of findings that he […]

On September 5, 2018, JUERGEN WEBER (CRD#: 2617323), was barred by the Financial Industry Regulatory Authority, Inc. (FINRA) from acting as a broker or otherwise associating with a broker-dealer firm. Without admitting or denying FINRA’s findings, Weber consented to the sanction and to the entry of findings that he failed to appear and refused to […]