STEPHEN SLOANE CRD#: 1257601, a broker currently with WestPark Capital of New York, NY, and formerly with Morgan Stanley also of New York, had a complaint filed against him by the Financial Industry Regulatory Authority’s Department of Enforcement. FINRA filed the complaint on July 20, 2020, alleging Sloane recommended costly and unsuitable investments for his […]

The South Florida-based Soreide Law Group (888-760-6552) obtained the following information on FINRA’s website: ALEJANDRO FALLA (ALEJANDRO FALLA CARRASCO) (CRD #5064828, Miami, Florida) According to FINRA’s BrokerCheck, in September 2016, ALEJANDRO FALLA was named a respondent in a FINRA complaint alleging that as the Chief Executive Officer and head trader of BAC FLORIDA INVESTMENTS, he […]

Florida-based Soreide Law Group obtained the following information on FINRA’s website under, “Disciplinary and Other Actions January 2016.” Anthony Arthur Grey (CRD #709788, Winter Park, Florida) was fined $30,000, suspended by FINRA for 18 months and required to disgorge $15,750, plus pre-judgment interest, to FINRA. The sanctions were sustained by the Securities and Exchange Commission […]

Sean Anthony Spearman (CRD #2945116, Redondo Beach, California) was barred by FINRA member and ordered to disgorge unlawful profits of $66,771 for allegedly liquidating a position held by a client of his member firm to meet margin requirements; but instead of selling the shares to the market and maximizing the return to his client, Spearman […]