The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker James Pecoraro AKA James Robert Pecoraro [CRD#: 2440231, Garden City, NY]. However, Pecoraro denies the allegations. Read on to learn more about the allegations against Pecoraro. FINRA Sanctions SW Financial Securities Broker James Pecoraro For Unsuitable Trading Evidently, on August 4, 2022, FINRA […]

Soreide Law Group is investigating possible investor claims against securities broker Michael Ohlemacher AKA Michael Burton Ohlemacher [CRD#: 5759091, Maumee, OH]. Evidently, FINRA sanctioned the securities broker, who worked for WS Brokerage Services. Allegedly, Ohlemacher engaged in an undisclosed outside business activity. Here is a brief summary FINRA’s allegations against Ohlemacher. FINRA Sanctions WS Brokerage […]

Soreide Law Group is investigating possible investor claims against securities broker Kevin Nevin AKA Kevin Mark Nevin [CRD#: 2460059, Edina, MN]. Notably, FINRA sanctioned the securities broker, who worked for Dempsey Lord Smith LLC. Allegedly, Nevin failed to respond to FINRA’s request for information. Here is a brief summary FINRA’s allegations against Nevin. FINRA Sanctions […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Jeffrey Marburger AKA Jeffrey Ernest Marburger [CRD#: 2872490, Dover, OH]. However, Marburger denies the allegations. Read on to learn more about the allegations against Marburger. FINRA Sanctions WS Brokerage Services Securities Broker Jeffrey Marburger For Failure To Testify Evidently, on May 18, 2022, […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Igor Kislitsa AKA Igor Peter Kislitsa [CRD#: 6324794, Citrus Heights, CA]. Evidently, investors disputed the sales practices of the securities broker, who worked for PFS Investments. Additionally, the securities broker discloses a regulatory enforcement action. Notably, these disclosures allege Kislitsa engaged in sales […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Andrew Elsoffer AKA Andrew Bruce Elsoffer [CRD#: 2580009, Pepper Pike, OH]. Evidently, investors disputed the sales practices of the securities broker, who worked for Stifel Nicolaus Company. Additionally, the securities broker discloses a regulatory enforcement action. However, Elsoffer denies the allegations of sales […]

Investors have come forward with complaints about securities broker Gary Begnaud [CRD#: 865927, Mt. Laurel, NJ]. Evidently, the securities broker, who worked for Merrill Lynch Pierce Fenner Smith, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Merrill Lynch Pierce Fenner Smith clients allege that Begnaud made unauthorized transactions. For more on these […]

Soreide Law Group is investigating possible investor claims against securities broker Jesus Alvidrez AKA Jesus Jose Alvidrez [CRD#: 6414709, Brea, CA]. Evidently, FINRA sanctioned the securities broker, who worked for Transamerica Financial Advisors. Allegedly, Alvidrez failed to provide information and documents to FINRA when it investigated possible violations of FINRA rules. Here is a brief […]

The Financial Industry Regulatory Authority (FINRA) reports allegations of sales practice violations by securities broker John Sebastion Cangialosi [CRD#: 3273830, New York, NY]. Cangialosi worked for (1) S.W. Financial from 2019 to 2022; (2) Worden Capital Management LLC from 2016 to 2019; and (3) Legend Securities Inc. from 2013 to 2016. Evidently, one or more […]