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 […]

FINRA Investigating Securities Broker David Melilli (SagePoint, Cambridge Investment Research) Soreide Law Group provides you with important investor-related information in regard to securities broker David John Melilli (CRD#: 5254172, Moorestown, New Jersey). Evidently, Melilli worked for SagePoint Financial from 2010 to 2019, LPL Financial in 2018, and Cambridge Investment Research from 2019 to 2020. Namely, […]

Broker Anthony Cottone Is Barred By FINRA, Involved In Dispute About Private Placements The Financial Industry Regulatory Authority (“FINRA”) reports troubling information concerning securities broker Anthony Matthew Cottone (CRD#: 4394861, Boca Raton, Florida). It appears that Cottone worked for firms Landolt Securities (2016 to 2017) and First West Group (2014 to 2016). Notably, there are […]

Investor Files Dispute About Barred Broker David Volpe Soreide Law Group is evaluating possible investor claims against securities broker David John Volpe (CRD#: 2543478, Scottsdale, Arizona). Evidently, the securities broker last worked for First Financial Equity Corporation (2019). He also worked for LPL Financial LLC (2017 to 2018) and National Planning Corporation (2009 to 2017). […]

Money Concepts Broker Dustin Shafer Barred As Securities Broker, Involved In Investor Disputes Soreide Law Group is reviewing whether to bring investor claims against Money Concepts Capital Corp securities broker Dustin Paul Shafer (CRD#: 4198962, Springfield, Illinois). Notably, as of January 7, 2021, Shafer’s securities broker privileges have been taken away by State of Illinois […]