Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Caz Craffy (also known as Carz Levinski Craffey) [CRD: 5222223, Point Pleasant Beach, New Jersey]. Craffy worked for Newbridge Securities Corporation from May 2017 to March 2021 and with Monmouth Capital Management LLC from April 2021 to November 2022. Keep reading to learn more […]

Financial Industry Regulatory Authority (FINRA) filed a complaint alleging misuse of client funds by securities broker David Wei Wong [CRD: 4689031, Los Angeles, California]. Not only that, but a client complained about him. Evidently, David Wong joined Integrity Brokerage LLC on April 3, 2020, and Integrity Advisers LLC on January 21, 2021. The following information […]

The Financial Industry Regulatory Authority (FINRA) barred securities broker John Scott Winslow [CRD #: 3071933, Gig Harbor, WA]. Winslow worked for Edward Jones from 2013-2021; Union Banc Investment Services LLC from 2011-2013; and Key Investment Services LLC from 2006-2011. Evidently, one or more investors also disputed the sales practices of the securities broker. However, Winslow […]

FINRA reports allegations of sales practice violations by securities broker Kenneth Joseph Heidelberger[CRD#: 5293261, Naples, Florida]. Evidently, investors disputed the sales practices of the securities broker, who worked for Fifth Third Securities. Notably, these disclosures allege Heidelberger engaged in sales practice violations. Read on to learn more about the allegations against Heidelberger. However, please note […]

NYLife Clients File Disputes Concerning Broker Jeffrey Anderson Soreide Law Group shares BrokerCheck news on securities broker Jeffrey Scott Anderson (CRD#: 5993214, Bloomington, Illinois). Notably, Anderson was a securities broker at NYLife Securities LLC during the time of the allegations against him. Take a closer look at the allegations below. However, be mindful that he […]

Broker Ronald Daley (WS Brokerage Services, WS Life) Barred By FINRA Following Investigation The Financial Industry Regulatory Authority (“FINRA”) reports new information regarding securities broker Ronald Scott Daley (CRD#: 4682165, West Chester, Ohio). Specifically, Daley, who worked for securities firm WS Brokerage Services from January 2009 to August 2021, agreed to be barred indefinitely as […]

Broker Ronald Giovino (GWN Securities) Barred, Involved In Investor Disputes The Financial Industry Regulatory Authority (FINRA) barred securities broker Ronald Joseph Giovino (CRD#: 2236071, Clearwater, Florida). This means that Giovino cannot be a securities broker with any FINRA-member firm (most securities firms in the country). In addition, it appears that Giovino is involved in disputes […]

Securities Broker Arieh Israel Barred By FINRA, Facing NYLife Client Complaint Notably, FINRA barred securities broker Arieh Israel (CRD#: 6481347, New York, New York) as a securities broker to resolve allegations of misuse of investor funds. Not only that, but Israel, who worked for NYLife Securities from October 2016 to February 2020, is facing investor […]

Securities Broker Andrew LeBlanc Sanctioned, Faces Merrill Lynch Client Complaints Soreide Law Group comes to you with important investor information regarding securities broker Andrew Joseph LeBlanc II (CRD#: 2607117, Saddle Brook, New Jersey). Notably, LeBlanc received sanctions from Financial Industry Regulatory Authority (FINRA) to resolve allegations of his participation in private securities transactions. The state […]