FINRA Issues Suspension To Broker Hector Ramos To Resolve Allegations Of Unsuitable Recommendations Financial Industry Regulatory Authority ("FINRA") BrokerCheck provides you with important information about securities broker Hector Ramos (CRD#: 4172477, Brandon, South Dakota). Notably, FINRA sanctioned Ramos twice, and an investor complained about him. Here's more. FINRA Suspends Hector Ramos In 2020 For Allegedly […]

Broker John Lowry Investigated By FINRA, Involved In Spartan Client Disputes Soreide Law Group provides you with some of the latest information in regard to securities broker John Dennis Lowry (CRD#: 4336146, New York, New York). It appears that Lowry, who is the CEO of Spartan Capital Securities LLC, faces an August 2020 FINRA investigation […]

Securities Broker Arieh Israel Barred By FINRA, Facing NYLife Client Complaint Notably, FINRA barred securities broker Arieh Israel (CRD#: 6481347, New York, New York) as a securities broker to resolve allegations of misuse of investor funds. Not only that, but Israel, who worked for NYLife Securities from October 2016 to February 2020, is facing investor […]

Wynston Hill Investor Takes Issue With Robert Calamunci's Sales Practices Financial Industry Regulatory Authority (FINRA) BrokerCheck shows that a Wynston Hill Capital LLC client took aim at the sales practices of securities broker Robert Joseph Calamunci Sr. (CRD#: 1618899, Bronx, New York). In addition, FINRA and the National Association of Securities Dealers (NASD) both sanctioned […]

Securities Broker Johnnie Jones Suspended By FINRA, Involved In Investor Disputes Soreide Law Group has new information to share with you concerning securities broker Johnnie Melvin Jones (CRD#: 2705042, Syosset, New York). Evidently, Jones worked for National Securities Corporation (2013 to 2016) and Network 1 Financial Securities Inc. (2016 to 2021). According to Financial Industry […]

FINRA Suspends TCM Securities Broker Michael Pellegrino, And TCM Investors File Disputes About Him Financial Industry Regulatory Authority (FINRA) BrokerCheck contains important information regarding Taylor Capital Management (TCM) securities broker Michael August Pellegrino (CRD#: 5900843, Oakbrook Terrace, Illinois). Namely, on January 6, 2021, FINRA suspended him for a period of two months. During that period, […]

Oppenheimer Investors File Disputes Alleging Sales Practice Violations By Securities Broker Jeffrey Warren Soreide Law Group provides you with the following update regarding securities broker Jeffrey Warren (CRD#: 2707969, Boca Raton, Florida). It appears that as of May 28, 2021, FINRA barred Warren from acting as a securities broker or associating with a FINRA-member firm. […]

FINRA Suspends Merrill Lynch Securities Broker Rawad Alame For Options Trading FINRA suspended Merrill Lynch securities broker Rawad Roy Alame (CRD#: 5376696, Raleigh, North Carolina) for a period of six months starting on January 4, 2021 and ending on July 3, 2021 to resolve allegations of his private securities transactions. Alame consented to the suspension […]

Stifel Nicolaus Broker Alex Perry Barred By FINRA, Facing Investor Disputes The Financial Industry Regulatory Authority (“FINRA”) barred Matthew Alexander “Alex” Perry (CRD#: 5985300, Columbia, Maryland). This means that he cannot work as a FINRA-member securities broker or otherwise associate with a FINRA-member brokerage firm. This decision is the result of an investigation by FINRA […]