Securities Broker Jason Poff Sanctioned By FINRA, Accused Of Sales Practice Violations By LPL And Chase Clients Financial Industry Regulatory Authority (FINRA) BrokerCheck, which houses important information about securities brokers, contains new disclosures regarding securities broker Jason Howell Poff (CRD#: 4078570, Houston, Texas). Specifically, FINRA issued Poff a fine and suspension for alleging engaging in […]

Broker Elias Hakimian (LPL Financial) Fined For Borrowing, Accused Of Churning By Investor The Financial Industry Regulatory Authority (FINRA) reportedly issued a three-month suspension to Elias Moses Hakimian (CRD#: 4404048, Seal Beach, California) as a securities broker and fined him $5,000 for allegedly borrowing from a client of LPL Financial. In addition, an investor filed […]

FINRA Issues Suspension To Mike Hartlett For Discretionary Trading At LPL Financial Soreide Law Group is investigating possible investor claims or disputes against LPL Financial securities broker Michael Miles Hartlett (“Mike Hartlett”) (CRD#: 1022139, East Petersburg, Pennsylvania). Namely, the Financial Industry Regulatory Authority (FINRA) suspended and fined Hartlett for allegedly making discretionary trades in violation […]

Securities Broker Maryann Bessler Involved In LPL Financial Investor's Dispute The Financial Industry Regulatory Authority (“FINRA”) BrokerCheck report for securities broker Maryanne Virginia Bessler (CRD#: 2192223, Lynbrook, New York) contains investor disputes and a regulatory action. It seems that this securities broker, who works for LPL Financial as financial advisor and securities broker (October 2011 […]

Securities Broker Thomas Chandler Resigns From Kovack Securities Over Misconduct Allegations FINRA BrokerCheck shows important information in regard to securities broker Thomas Wayne Chandler (CRD#: 1082136, Fort Lauderdale, Florida). Evidently, Chandler worked for securities firms Merrill Lynch, LPL Financial (2014 to 2018) and Kovack Securities (2019 to 2020). Notably, both Kovack Securities and LPL Financial […]

Cantella, Voya and LPL Clients File Investor Disputes About Broker Jim Joly Investment loss recovery counsel at Soreide Law Group is looking into possible investor claims concerning James Ernest Joly (CRD#: 2193463, East Greenwich, Rhode Island). Evidently, the Financial Industry Regulatory Authority (“FINRA”) shows through BrokerCheck that the securities broker, who has worked at Cantella […]

LPL Investors Take Issue With Kevin McCallum's Medley Capital Corp Investment Recommendations The Financial Industry Regulatory Authority (“FINRA”) reports new information in regard to securities broker Kevin Marshall McCallum (CRD#: 2222586, Birmingham, Alabama). Namely, five investors brought disputes in regard to this securities broker, who worked for LPL Financial LLC from May 2012 to July […]

Investors File Disputes About Broker Gilberto Briseno's Investment Recommendations At LPL Financial Soreide Law Group is examining whether to file disputes on behalf of investors against securities broker Gilberto Briseno (CRD#: 1939355, Boutte, Louisiana). Evidently, the Financial Industry Regulatory Authority (“FINRA”) reports that three investors took issue with Briseno’s sales practices. Read on to learn […]

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, […]