Investors might have sustained losses because of securities broker Peter Joseph Kalmus [CRD: 1522531, Liverpool, New York], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Kalmus has been registered with IBN Financial Services Inc. since February 16, 2015. Read on to find out more about the disclosures concerning this securities broker. IBN […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Mark Martino (CRD: 1010228, White Plains, New York). Not only has FINRA sanctioned Martino for failing to perform due diligence, but investors disputed the sales practices of the securities broker. However, Martino denies the allegations. Read on to learn more about the allegations […]

FINRA reports important information about securities broker Dana H. Davis (CRD: 1707708, Hauppauge, New York). Not only has FINRA sanctioned Davis for making unsuitable recommendations and inappropriately used margin, but investors disputed the sales practices of the securities broker. However, Davis denies the allegations. Read on to learn more about the allegations against Davis. FINRA […]

Soreide Law Group is investigating possible investor claims against securities broker Rob Luley (also known as Robert Leo Luley Jr.) (CRD:  4176139, Clover, SC). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Madison Avenue Securities LLC. Evidently, one or more investors alleged […]

Soreide Law Group is investigating alleged claims by investors regarding the following broker formerly listed with Crown Capital Securities, L.P. of Watsonville, California, from 07/11/2011 - 12/31/2020: KENNETH JAMES BARROGA (CRD#: 2288752) According to FINRA’s BrokerCheck, available to the public on FINRA’s website, Barroga has not been registered with any other firms since December of […]

Investors Allege Sales Practice Violations By Securities Broker Chris Shaw (Kalos Capital, Pruco Securities) According to the Financial Industry Regulatory Authority (FINRA), securities broker Christopher John Shaw "Chris Shaw" (CRD#: 5011382, Belmont, North Carolina) is involved in investor disputes. The securities broker worked for Blackbird North America, Kalos Capital, Kalos Management, Pruco Securities, Prudential Financial […]

According to an article in the Tampa Bay Times, on February 4, 2021, David Gentile, 54, the founder and CEO of GPB Capital was charged with five felonies. GPB Capital, founded in 2013 is based in New York. GPB has an office in One Clearwater Tower in downtown Clearwater, two floors above the City Hall. […]

Investors File Disputes About Hugh Barndollar's Alternative Investment Sales The Financial Industry Regulatory Authority (“FINRA”) reports troubling information relating to securities broker Hugh “Hobby” Ordway Barndollar III (CRD#: 3027317, Land O’ Lakes, Florida). Evidently, Barndollar worked as a securities broker for firms including  JP Turner Company, Newport Coast Securities and Crown Capital Securities. He has […]

Concorde Broker Robert Smith Allegedly Sold Bad GPB Investments Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports troubling information in regard to securities broker Robert Scott Smith (CRD#: 1412333, Newberg, Oregon). Evidently, Smith worked for securities firm Concorde Investment Services LLC from 2011 to 2020. Namely, clients indicate that Smith might have caused their […]