Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Brian James Pavelko [CRD: 6347352, Milpitas, California]. Brian Pavelko has an employment history spanning several firms. He has been registered with NI Advisors in Milpitas, California, since March 13, 2022. Previously, Pavelko worked for SW Financial from September 2018 to March 2022, Democracy Funding […]

Broker Michael Shillin Under FINRA Investigation Soreide Law Group is reviewing possible investor lawsuits against securities broker Michael Francis Shillin (CRD#: 5927156, Altoona, WI). Notably, on November 20, 2020, FINRA initiated an investigation into the broker, who worked for securities firms Alliance Global Partners (AGP) from 2018 to 2020 and Raymond James from 2014 to […]

McNally Broker Dennis Nakamura Investigated For Possibly Breaking FINRA Rules Investor Alert! The Financial industry Regulatory Authority (“FINRA”) barred securities broker Dennis M. Nakamura (CRD#: 819626, Moraga, California). Evidently, the securities broker – who worked for McNally Financial Services Corporation from 2010 to 2019 – refused to testify in a FINRA investigation about his investment […]

FINRA Investigates Whether Westpark Capital's Harry Datys Sold Unsuitable And Misrepresented Investments Soreide Law Group is reviewing potential lawsuits on behalf of investors against securities broker Harry Datys (CRD#: 1877750, New York, New York). Apparently, Financial Industry Regulatory Authority (“FINRA”) recommends disciplinary action against the securities broker, who worked for Westpark Capital from June 10, […]

Laidlaw Broker Bryan Mazliach Allegedly Made Excessive, Unsuitable Trades There is growing suspicion among investors of bad securities recommendations or sales on the part of securities broker Bryan Gabriel Mazliach (CRD#: 5518438, Fort Lauderdale, Florida). Notably, Financial Industry Regulatory Authority (“FINRA”) shows that three investors brought disputes about the securities broker, who worked for Laidlaw […]