Securities Broker Al Westbrook Receives Suspension, Fine From FINRA For Allegedly Selling Away Soreide Law Group provides you with the following update regarding securities broker John Albert “Al” Westbrook (CRD#: 1846059, McDonough, Georgia). Specifically, Westbrook, who worked for Center Street Securities (2014 to 2020), faced sanctions from FINRA for his alleged private securities transactions. In […]

Securities Broker Abdul Rahmani Faces FINRA Disciplinary Action Financial industry Regulatory Authority (“FINRA”) shows new investor-related information on BrokerCheck in regard to securities broker Abdul Matin Rahmani (CRD#: 4269583, Mineola, New York). Specifically, FINRA brought a disciplinary action against Rahmani for alleged violations of FINRA rules. Also, Rahmani’s employment ended with SW Financial following allegations […]

AXA Advisors, Equitable Advisors Clients Bring Complaints About Douglas Keller Soreide Law Group provides you with an update on the disclosures pertaining to securities broker Douglas Eugene Keller (CRD#: 1272529, Red Bank, New Jersey). Specifically, there are investor disputes and regulatory sanctions involving the securities broker, who worked for firms including AXA Advisors (2008 to […]

FINRA, NJ Securities Bureau Sanction Raymond James Broker Lance Armstrong The New Jersey Bureau of Securities revoked the securities agent and investment adviser registrations of Lance Roman Armstrong (CRD#: 4592423, Columbia, New Jersey), a former Raymond James Financial Services securities broker. The NJ order comes on the heels of Financial Industry Regulatory Authority’s decision to […]

HTK Client Files Dispute About Securities Broker Sam Paolini New information comes from Financial Industry Regulatory Authority (“FINRA”) BrokerCheck regarding securities broker Sam Peter Paolini (CRD#: 6087086, New York, New York). Evidently, the securities broker worked for securities firm Morgan Stanley from August 2012 to February 2014, and securities firm Hornor Townsend Kent Inc. (“HTK”) […]

Lek Securities Corporation's Sam Lek Involved In Investor Dispute The Financial Industry Regulatory Authority (“FINRA”) reports a new investor dispute regarding securities broker Samuel Frederik Lek (CRD#: 1642936, New York, New York). It appears that two investor disputes have been filed against the securities broker since March 2019. Not only that, but securities regulators have […]

Investors File Suitability Disputes About AISG Securities Broker Thomas Logue According to BrokerCheck, the Financial Industry Regulatory Authority (“FINRA”) database on securities brokers, there are important things you should know concerning Thomas Joseph Logue (CRD#: 1700554, Hinsdale, Illinois). The securities broker, who worked for American Independent Securities Group LLC (“AISG”) from 2014 to 2017, is […]

FINRA Bars Securities Broker David Martirosian Following Investigation The Financial Industry Regulatory Authority (“FINRA”) disclosed that it barred (expelled) David Martin Martirosian (CRD#: 5261144, New York, New York). Namely, the securities broker, who worked for Joseph Stone Capital from July 2016 to April 2021, and who worked for firms who FINRA expelled, agreed to a […]

Securities Broker Jack McBride (B Riley, Ameriprise) Involved In Investor Disputes Soreide Law Group provides you with important information in regard to securities broker Jack B. McBride (CRD#: 2517946, Plymouth, Michigan), who works for B Riley Wealth Management as both a financial advisor and securities broker. Specifically, FINRA BrokerCheck shows that investors of B Riley […]