Investors potentially experienced sales practice violations by securities broker Alex Ng (also known as Alex King) [CRD: 5842211, New York, New York], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Ng worked for National Securities Corporation from December 20, 2010, to June 1, 2022, and has been registered with PHX Financial Inc. […]

Investors apparently complained about securities broker Jonathan Gabriel Gazdak [CRD: 5678294, Red Bank, New Jersey], according to publicly available information on FINRA BrokerCheck. Evidently, Gazdak has been registered with Alexander Capital L.P. since May 13, 2014. Read on for details about the disclosures involving Gazdak and the allegations raised about him. Alexander Capital L.P. Investor […]

FINRA, the Financial Industry Regulatory Authority, will soon publish the latest in a series of warnings to investors, this time about the risks of alternative securities. Richard Ketchum, chairman and chief executive of the Financial Industry Regulatory Authority, told Reuters reporters and editors attending Reuters Global Wealth Management Summit that low interest rates and worries […]

A Financial Industry Regulatory Authority (FINRA) arbitration panel has ordered Goldman Sachs & Co. to pay approximately $2.5 million to Tracy Landow, a client who said she was sold an inappropriate investment in a private-equity fund. Ms. Landow accused Goldman Sachs and her broker of making an unsuitable recommendation in the Goldman Sachs Special Opportunities […]

Soreide Law Group is investigating the following Private Equity Fund investments. If your stock broker or financial advisor recommended any of the following investments and you sustained a significant loss of your investment. Call 888-760-6552 for a free consultation.   - Private Equity -   HMS Income Fund, Inc. (BDC) Master Private Equity Fund, LP Sierra […]