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July 3, 2024
Ronald Reilly Of Wells Fargo Involved In Investor Disputes

Investors possibly experienced losses due to securities broker Ronald Michael Reilly (also known as Ron Reilly) [CRD: 1275745, Park City, Utah], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Ronald Reilly joined Wells Fargo Clearing Services LLC and Wells Fargo Advisors on January 3, 2011. Read below for additional information about Ronald […]

July 1, 2024
Robert Gleason Fined, Involved In IFP Investor Disputes

Investors might have sustained losses due to securities broker Robert Spaulding Gleason Jr. [CRD: 1415067, Owensboro, Kentucky], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Robert Gleason worked for IFP Securities LLC from February 2, 2022, to May 6, 2022, and Cantella Co. Inc. from November 21, 2016, to December 23, 2021. […]

June 13, 2024
Arthur McQuaide Suspended, Involved In Spartan Client Dispute Over Suitability

FINRA sanctioned securities broker Arthur Bruce McQuaide [CRD: 4581876, Garden City, New York], and an investor complained about him, according to Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Arthur McQuaide worked for Spartan Capital Securities LLC from January 26, 2016, to December 22, 2022. Keep reading to learn more about the securities broker’s disclosures. McQuaide […]

May 18, 2024
Richard Brown Involved In Summit Investor Disputes

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Richard W. Brown [CRD: 1595628, Fort Myers, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Brown worked for Summit Brokerage Services from May 2, 2003, to September 20, 2019. Continue reading to learn more […]

May 11, 2024
Joseph Desapio Sanctioned, Facing Spartan Client Disputes

Investors might have sustained losses due to Joseph C. Desapio [CRD: 5837553, New York, New York], and FINRA sanctioned the securities broker, based on the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Joseph Desapio worked for Spartan Capital Securities LLC from May 5, 2017, to July 27, 2022. He was discharged when Spartan […]

April 1, 2024
Frank Martin Sanctioned By Maryland, FINRA

Regulators have sanctioned securities broker Frank Levi Martin (also known as Frange Martin and Frangel Martinez) [CRD: 2859847, Brooklyn, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Martin joined LPL Financial LLC on July 26, 2019. Continue reading to learn more about Martin's disclosures. Maryland Regulator Sanctioned Martin For Supervision […]

March 14, 2024
Troy Orlando Suspended, Involved In Investor Dispute

Soreide Law Group is reviewing potential investor claims on behalf of individuals who incurred losses from securities broker Troy Allen Orlando [CRD: 6055474, New York, New York]. Evidently, Orlando worked for various firms, including Craft Capital Management LLC, Joseph Gunnar Co. LLC, Joseph Stone Capital L.L.C., Worden Capital Management LLC, and Spartan Capital Securities LLC, […]

March 2, 2024
Spartan Broker Joao Pinto Sanctioned And Involved In Investor Dispute

Soreide Law Group is reviewing potential investor claims on behalf of individuals who incurred losses from securities broker Joao Amorim Pinto [CRD: 6298233, New York, New York]. Pinto has worked for Spartan Capital Securities LLC since October 22, 2019. Read below to learn more about Pinto’s disclosures, which include FINRA sanctions and an investment dispute. […]

February 27, 2024
Tory Duggins Suspended By FINRA For Excessive Trading At Spartan Capital

Investors may have encountered financial setbacks due to the actions of Tory Duggins [CRD: 4556340, New York, New York], based on disclosures found on the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Duggins was previously registered with Spartan Capital Securities LLC in New York, NY, from February 29, 2016, to January 31, 2024. Read on […]

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