HTK Client Files Dispute About Securities Broker Sam Paolini New information comes from Financial Industry Regulatory Authority (“FINRA”) BrokerCheck regarding securities broker Sam Peter Paolini (CRD#: 6087086, New York, New York). Evidently, the securities broker worked for securities firm Morgan Stanley from August 2012 to February 2014, and securities firm Hornor Townsend Kent Inc. (“HTK”) […]

FINRA Moves To Expel Steven Rodemer For Not Testifying About Use Of Client Funds Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) indefinitely barred securities broker Steven Dale Rodemer (CRD#: 830561, Pueblo, Colorado). Notably, the former Stifel Nicolaus securities broker is no longer allowed to associate with FINRA member brokerage firms after refusing to give […]

Barred Broker Paul Pitsironis Involved In Investor Disputes Investor Alert! Clients of Janney Montgomery Scott and Wells Fargo are filing disputes about financial advisor Apostolos “Paul” Pitsironis (CRD#: 2804907, Melville, New York). In fact, Soreide Law Group reviewed Pitsironis’ BrokerCheck Profile which shows 9 adverse disclosures. Namely, at least 7 investors from Janney Montgomery Scott […]

INVESTOR ALERT! ALPINE SECURITIES CORPORATION Issued Cease and Desist The Financial Industry Regulatory Authority (“FINRA”) obtained a Cease and Desist Order against Alpine Securities Corporation in a proceeding dated August 5, 2019. Specifically, FINRA Ordered Alpine to cease and desist converting clients’ securities and funds, misusing their funds and making unauthorized transactions in their accounts, […]

ROBERT MONTES Barred By FINRA The Financial Industry Regulatory Authority (“FINRA”) announced July 24, 2019 that it barred Morgan Stanley securities broker Robert Montes (CRD#: 835488, Palm Harbor, Florida). Evidently, Montes, who worked for Morgan Stanley from 2014 until 2019,  flat out refused to cooperate with FINRA who investigated him for his possible misuse of […]

FINRA Expels HD Vest’s ERIN VERESPY For Declining To Testify About Misappropriation Allegations FINRA announced it has barred HD Vest Investment Services broker Erin Verespy (CRD#: 2727866, Trumbull, Connecticut). Verespy worked at HD Vest Investment Services from August 19, 1998 to March 27, 2019. Evidently, she submitted a Letter of Acceptance, Waiver and Consent (“AWC”) […]

MATTHEW EARL PEREGOY (MATT PEREGOY) CRD#: 2430960   was barred by FINRA on January 16, 2018.  Without admitting or denying the findings, MATTHEW EARL PEREGOY consented to the sanction and to the entry of findings that he did not produce FINRA requested information related to its investigation into potential misuse of funds and failure to […]