Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities principal Yong Soo Kim (also known as Yong Kim) [CRD: 1747849, Los Angeles, California]. Kim joined Kayan Securities Inc. on November 28, 2011. Kim was employed as a principal responsible for supervising trading activities at Kayan Securities. Keep reading to learn more about the sanctions […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Stewart Ginn (also known as Stewart Taylor and Paxton Ginn Jr.) [CRD: 4503197, Santa Maria, California]. Evidently, Ginn joined Independent Financial Group LLC on September 3, 2015, and worked for Navian Capital Securities LLC in Cincinnati, Ohio, from February 18, 2021, to March 10, […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals details about securities broker Donald Leo Hansen Jr. [CRD: 3207894, San Francisco, California]. Hansen worked at Merrill Lynch from October 23, 2009, to March 22, 2024. Disclosures on BrokerCheck show allegations against Hansen stemming from his involvement with customers. Those allegations include unauthorized and excessive trading in client […]

FINRA expelled securities broker James Brett Stuart (also known as Bradley Lee Thompson) [CRD: 3022149, Castle Rock, Colorado], according to Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, James Stuart worked for Richfield Orion International Inc. from December 10, 2007, to November 3, 2022. Here’s more about the securities broker’s disclosures. James Stuart Committed Supervisory Failures, […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Russell Paul Green [CRD: 1391627, Syosset, New York], according to disclosures on the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Green joined Cabot Lodge Securities LLC on September 28, 2018. He also joined CL Wealth Management LLC on […]

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 […]

Investors may have incurred losses due to the actions of securities broker Eduardo Andrew Martinez (also known as Andrew Martins and Andrew E. Martin) [CRD#: 5950799, Stamford, Connecticut], according to disclosures of regulatory sanctions and investor disputes on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Martinez joined Merrill Lynch Pierce Fenner Smith Incorporated on October […]

Did you invest through securities broker Tim Vorpahl (also known as Timothy James Vorpahl) [CRD#: 1457312, Spokane, Washington]? Evidently, Vorpahl joined Vorpahl Wing Securities Inc. in 1999. FINRA sanctioned him for his failure to supervise. FINRA Sanctioned Vorpahl For Failure To Supervise And Inadequate Procedures Particularly, on March 11, 2022, FINRA issued Case: 2020065149802 sanctioning […]

Broker Bryan Mazliach Identified In Client Disputes, FINRA Complaint Soreide Law Group is evaluating possible investor claims of sales practice violations by Bryan G. Mazliach (CRD#: 5518438, Fort Lauderdale, Florida). Apparently, the securities broker, who worked for Rockwell Global Capital (2010 to 2015), Laidlaw (2015 to 2017) and Westpark Capital (2017 to 2018), is involved […]