Investors might have sustained losses because of securities broker Louis Joseph Pellegriti [CRD: 5891855, New York, New York], according to disclosures on the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Louis Pellegriti worked for Spartan Capital Securities LLC from August 15, 2017, to January 8, 2019, and earlier with Worden Capital Management LLC from November […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Jae Hun Kim [CRD: 4620963, Cortlandt Manor, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Jae Kim worked for E1 Asset Management from February 6, 2003, to March 4, 2024. Here’s more about […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Haiguang Hai Yin (also known as Hai Guang Yin, and John Yin) [CRD: 3249933, City of Industry, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, John Yin worked for Cetera Investment Advisers LLC from […]

Investors might have sustained losses because of securities broker Gustavo Santos Miramontes [CRD: 2338966, Los Angeles, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Gustavo Miramontes joined Oppenheimer Co. Inc. on August 13, 2018, and previously worked for Wedbush Securities Inc. from January 14, 2015, to August 16, 2018. Keep reading […]

Investors possibly experienced losses due to securities broker Gihan Anil Fernando (also known as Gihan Raphael Fernando) [CRD: 4469669, Houston, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Gihan Fernando worked for BOK Financial Advisors and BOK Financial Securities Inc. from March 7, 2003, to November 8, 2023. He joined Cetera […]

Investors possibly experienced losses because of securities broker Bryan Scott Foster [CRD: 2702281, Southfield, Michigan], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Bryan Foster joined LPL Financial LLC on October 9, 2009. Here’s more about the securities broker’s disclosures. LPL Financial LLC Investor Accused Foster Of Unsuitable Recommendations Specifically, an LPL […]

FINRA sanctioned securities broker Arthur Bruce McQuaide [CRD: 4581876, Garden City, New York], and an investor complained about him, according to Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Arthur McQuaide worked for Spartan Capital Securities LLC from January 26, 2016, to December 22, 2022. Keep reading to learn more about the securities broker’s disclosures. McQuaide […]

Investors might have sustained losses due to securities broker Sally Ann Weger (also known as Sarah Ann Weger) [CRD: 2591057, Palm Beach Gardens, Florida], based on the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Weger joined Morgan Stanley Smith Barney on September 16, 2011. Read on to uncover more about Weger’s client disputes […]

Investors may have incurred losses with securities broker Robert Gerald Lorente, also known as Bob Lorente [CRD: 1425180, Livonia, Michigan], according to disclosures on the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Robert Lorente was previously registered with Great Point Capital LLC. Here’s more about the allegations made against Lorente by clients. Lorente Accused Of Misrepresentation […]