Markus Byrd (CRD 2177376) has settled customer claims and faces pending FINRA arbitration claims at Kestra Investment Services, according to his BrokerCheck report.

James Walesa (CRD 1061209) has settled several customer disputes and faces pending arbitration claims, according to his FINRA BrokerCheck report. The disputes involve his work at Arkadios Capital and Triad Advisors.

Sam Bhushan (CRD: 4884717) is named in several pending customer complaints and one settled dispute, according to his BrokerCheck report.

Soreide Law Group is currently representing investors against Meyers Associates, a small New York firm which unfortunately, is known for having many of their registered representatives with negative marks on their employment records. These negative marks or "disclosure events" often show up in FINRA's BrokerCheck, which is a database available to the public located on […]

The Public Investors Arbitration Bar Association, also known as PIABA, studied arbitration cases in which the word "expungement" appeared. They found that since mid-May 2009 through the end of 2011 -- expungement relief was granted in nearly every instance: 96.9% of cases. PIABA found, for example, one broker who requested expungement 40 times, and arbitration […]

The Public Investors Arbitration Bar Association, also known as PIABA, studied arbitration cases in which the word "expungement" appeared. They found that since mid-May 2009 through the end of 2011 -- expungement relief was granted in nearly every instance: 96.9% of cases. PIABA found, for example, one broker who requested expungement 40 times, and arbitration […]

The following informative and clever list, comes from interviews by Michelle Crouch of several financial consultants. They share some of the secrets of their trade. "1. Certified financial planners and NAPFA-registered financial advisers take a pledge to put their clients' interests ahead of their own, but traditional stockbrokers aren't held to the same standard, even […]

In an article, Feb. 7, 2013, in the New York Post, it was reported that (broker-dealer owner), Anastasios “Tommy” Belesis' firm, John Thomas Financial, is being investigated by the FBI, the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority Inc. (FINRA). Mr. Belesis has made many media appearances on cable business/financial shows. […]

The Financial Industry Regulatory Authority Inc., also known as FINRA, is proposing a new rule that would allow investors to access information about a financial advisor’s business and disciplinary history directly from the firm’s web page. FINRA filed a regulatory notice in the Jan. 25 edition of the Federal Register. FINRA said the rule would […]