FINRA Bars UBS Financial Services Broker David Fagenson Investor Alert! FINRA discloses troubling information about securities broker David Fagenson [CRD#: 1652012, Boca Raton, Florida]. Not only has FINRA barred Fagenson for failing to comply with its requests, but at least 11 clients took issue with the securities broker, who worked for Newbridge Securities Corporation between […]

Joseph Stone Broker Erik Pica Allegedly Steals $200,000 From Client Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports alarming allegations of improprieties by Joseph Stone Capital securities broker Erik Pica [CRD#: 4829533, New York, New York]. Namely, FINRA filed a complaint against Pica alleging his conversion of client funds. In addition, 7 clients  brought […]

Barred Broker Donnell Bowen Mentioned In Client Disputes Evidently, investors are coming forward with disputes concerning securities broker Donnell Bowen (CRD#: 5641822, Washington, DC). Notably, the securities broker, who associated with Northwestern Mutual Investment Services from April 2, 2009 to February 1, 2017, reports 14 investor disputes on Financial Industry Regulatory Authority (“FINRA”) BrokerCheck. Apparently, […]

Broker Gabe Block's License Revoked By NJ Securities Bureau Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) shows troubling information in regard to securities broker Gabriel “Gabe” Block (CRD#: 2103543, Red Bank, New Jersey). Not only has New Jersey Bureau of Securities issued a $750,000 fine to Block and revoked his license for allegedly engaging […]

Broker Robert DePalo Barred Following Fraud Conviction Investor Alert! Securities broker Robert DePalo (CRD#: 2946313, Greenwich, Connecticut) is no longer allowed to act as a broker or investment advisor, according to the Securities and Exchange Commission (“SEC”), who barred DePalo after he was convicted of fraud. Not only that, but FINRA barred the broker and […]

Broker Phillip Schreiner Fails To Comply With FINRA Soreide Law Group is investigating potential investor claims against broker Phillip Schreiner (CRD#: 4742497, San Antonio, Texas). Notably, Financial Industry Regulatory Authority (“FINRA”) issued another sanction to the broker, this time for allegedly failing to pay an arbitration award or prove his compliance therewith. Evidently, this comes […]

Broker Daniel Levine Barred By SEC, FINRA and Colorado Division of Securities Former Morgan Stanley broker Daniel Todd Levine (CRD#: 2874319, Greenwood Village, Colorado) is one of the latest securities brokers to be expelled from the industry. Evidently, Securities and Exchange Commission (“SEC”), Financial Industry Regulatory Authority (“FINRA”) and Colorado Division of Securities barred the […]

Broker Dennis Mehringer Barred For Refusing To Testify About Investment Advice Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports alarming allegations of improprieties by Western International Securities broker Dennis Albert Mehringer Jr. (CRD#: 722569, Pasadena, California). Notably, no less than 11 clients contested his sales practices. Not only that, but FINRA barred Mehringer for […]

First Allied Client Indicates That Broker Mike Azad Caused Investment Losses Soreide Law Group has come across information suggesting that one or more investors filed disputes about First Allied Securities broker Masood Hussain “Mike” Azad (CRD#: 4798445, League City, Texas). Namely, BrokerCheck confirms that FINRA investigated Azad after First Allied disaffiliated with him for allegedly […]