Latest Securities Lawyer News

Investors might have sustained losses due to securities broker Matt Abeywardena Ward [CRD: 2075525, Santa Monica, California], according to disclosures on the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Ward joined A.G.P. / Alliance Global Partners on April 4, 2012. Continue reading to learn more about Matt Ward’s regulatory issues and the implications for investors. […]

Investors might have sustained losses because of securities broker Louis Joseph Pellegriti [CRD: 5891855, New York, New York], according to disclosures on the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Louis Pellegriti worked for Spartan Capital Securities LLC from August 15, 2017, to January 8, 2019, and earlier with Worden Capital Management LLC from November […]

Investors might have sustained losses because of securities broker Gustavo Santos Miramontes [CRD: 2338966, Los Angeles, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Gustavo Miramontes joined Oppenheimer Co. Inc. on August 13, 2018, and previously worked for Wedbush Securities Inc. from January 14, 2015, to August 16, 2018. Keep reading […]

Soreide Law Group is investigating potential investor claims of sales practice violations due to John Sebastion Cangialosi Jr. [CRD: 3273830, New York, New York], given the disclosures on FINRA BrokerCheck. Evidently, Cangialosi worked for SW Financial from December 10, 2019, to August 16, 2022, and for Worden Capital Management LLC from November 4, 2016, to […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Doron Kochavi [CRD: 1011155, Pasadena, California], given the disclosures on FINRA BrokerCheck. Evidently, Kochavi worked for Western International Securities Inc. from October 19, 2015, to January 4, 2024. Keep reading to learn more about Kochavi’s disclosures. Regulator Sanctioned […]

FINRA BrokerCheck reports that investors alleged losses because of Stewart Taylor Paxton Ginn Jr. (also known as Stewart Ginn) (CRD#: 4503197, Santa Maria, California). Notably, Ginn works with Independent Financial Group LLC as of September 3, 2015, and worked with Navian Capital Securities LLC in Cincinnati, Ohio from February 18, 2021, to March 10, 2023. […]

Soreide Law Group is investigating possible investor claims against securities broker Andrew Joseph Kubicsko Jr. [CRD: 861670, Chicago, Illinois]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Raymond James Associates Inc. Evidently, investors allege sales practice violations including unsuitable trading or recommendations. […]

Soreide Law Group is investigating possible investor claims against securities broker Ed Maklouf (also known as Ahmad Mohamed Maklouf) [CRD: 6092943, New York, NY]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck disclosed that investors complained about the securities broker, who worked for Spartan Capital Securities LLC. Notably, investors allege sales practice violations in these disputes, […]

Investors have come forward with complaints about securities broker Daniel Mackle (also known as Daniel Joseph Mackle Sr.) (CRD:  2239531, Hackensack, NJ). Evidently, the securities broker, who worked for Garden State Securities Inc., discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Garden State Securities Inc. clients allege that Mackle made unsuitable recommendations, […]