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 […]

FINRA Bars LPL Financial Broker Scott Mason The Financial Industry Regulatory Authority (“FINRA”) indefinitely barred securities broker Scott Mason (CRD#: 3207386, Greenwood Village, Colorado). It seems that Mason, who worked for LPL Financial (2013 and 2017) and Voya Financial Advisors (2018), received two sets of sanctions by FINRA. Also, LPL clients complained about Mason. Notably, […]

FINRA Suspends ProEquities Broker Adam Feierstein FINRA BrokerCheck contains alarming information in regard to securities broker Adam S. Feierstein (CRD#: 6033082, Redondo Beach, California). Evidently, the securities broker worked for Woodbury Financial Services (2013 to 2018) and ProEquities (2018 to 2020). Notably, since 2019, Feierstein has been: targeted in a client dispute; terminated from ProEquities […]

Barred Broker Andre LaBarbera Accused Of Unsuitability, Churning The Financial Industry Regulatory Authority (“FINRA”) BrokerCheck contains alarming information in regard to securities broker Andre Vincent LaBarbera (CRD#: 2072370, Dix Hills, New York). Specifically, the securities broker, who worked for securities firms including Newport Coast Securities, IFS Securities and Titus Rockefeller, is involved in at least […]

Securities Broker William Athas Under FINRA Investigation Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) announced that it is investigating securities broker William Nicholas Athas (CRD#: 3165470, Melville, New York) as of September 2020 to determine if he sold unsuitable investments and churned his clients’ accounts. It is unclear whether this relates to Athas’s employment […]

Broker Alex Herrera Is Barred By FINRA, Involved In Investor Disputes The Financial Industry Regulatory Authority (“FINRA”) reports troubling information in regard to securities broker Alex Gerardo Herrera (CRD#: 3204779, Coral Gables, Florida). Notably, FINRA BrokerCheck confirms that at least three investors filed disputes alleging sales practice violations by the securities broker, who worked for […]