Alexander Capital Investors Indicate Broker Robert Stefanelli Excessively Traded, Churned Accounts Soreide Law Group is investigating potential investor claims of sales practice violations by securities broker Robert Stefanelli [CRD#: 2566917, New York, New York]. Notably, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck shows that four investors took aim at the securities broker, who associated with Alexander […]

Broker Jim Schwartz Allegedly Made Unauthorized, Unsuitable Transactions Causing Losses To Clients Soreide Law Group is reviewing potential investor claims against Joseph Gunnar broker James “Jim” Bradley Schwartz (CRD#: 3043085, New York, New York). Apparently, FINRA BrokerCheck reports that the securities broker, who worked for Joseph Gunnar (2016-2017), First Standard Financial Company (2016) and Aegis […]

Broker Richard Brown Purportedly Suspended For Failure To Pay Arbitration Award Soreide Law Group is reviewing possible investor claims against broker Richard Lyndon Brown [CRD#: 3245291, Farmingdale, New York], who worked for securities firms Arive Capital Markets, Chelsea Financial Services and Brookstone Securities. Notably, Securities and Exchange Commission (“SEC”) and Financial Industry Regulatory Authority (“FINRA”) […]

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. […]

Broker Gregory Pease Allegedly Made Unsuitable Trades, Churned Accounts Investors are coming forward with disputes about Gregory T. Pease [CRD#: 2416561, Hoboken, New Jersey]. Evidently, the securities broker, who associated with Merrill Lynch, Morgan Stanley, Wells Fargo and International Assets Advisory, reports a whopping 10 investor disputes on Financial Industry Regulatory Authority (“FINRA”) BrokerCheck. Mainly, […]

Hilliard Lyons' Christopher Bennett Reports 15 Client Disputes Investor Alert! The Financial Industry Regulatory Authority (FINRA) shows troubling information in regard to securities broker and financial advisor Christopher Duke Bennett [CRD#: 2510231, Louisville, Kentucky]. Namely, 15 clients took issue with the securities broker, who worked for Hilliard Lyons between 1995 and 2018. Also, FINRA issued […]

FINRA Investigating Allegations Of Excessive Trading By First Standard Broker Andre Davis Soreide Law Group is reviewing possible investor claims against Andre Davis [CRD#: 1417097, Red Bank, New Jersey]. Apparently, he worked for First Standard Financial Company between 2015 and 2019 and joined Paulson Investment Company in 2019. It appears that Financial Industry Regulatory Authority […]

Investors Suggest Joseph Gunnar CEO Joseph Alagna Failed To Supervise Investors have come forward with complaints about securities broker Joseph Alagna Jr. [CRD#: 1840339, New York, New York]. Apparently, the securities broker, who currently serves as Chief Executive Officer of Joseph Gunnar, discloses 3 investor disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Apparently, Joseph […]

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 […]