Investors have reportedly disputed the sales practices of securities broker Michael J. Francisco [CRD: 5095879, Mount Laurel, New Jersey], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Michael Francisco has worked for Raymond James Associates Inc. as a broker since January 27, 2017, and as an investment adviser representative since February 2, […]

Investors have reportedly disputed the sales practices of securities broker Michael Joseph Murray [CRD: 5034449, New York, New York], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Murray worked for Laidlaw Company beginning on October 27, 2010, and remains registered with the firm. Keep reading to discover more about the disclosures […]

Investors potentially experienced sales practice violations due to securities broker Edward Muster [CRD: 1012341, Boca Raton, Florida], based on public information on FINRA BrokerCheck. Evidently, Edward Muster worked for Herbert J. Sims Co. Inc. from May 14, 1998, to July 7, 2020. Keep reading to find out more about Edward Muster’s disclosures. Herbert J. Sims […]

Investors might have sustained losses due to securities broker Mark Angelo Gassoso [CRD: 2590007, Jersey City, New Jersey], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Mark Gassoso worked for National Securities Corporation from November 21, 2000, to July 22, 2022, B. Riley Wealth Management from July 22, 2022, to November 26, 2024, […]

iCap Enterprises Inc., previously known as Altius Development Inc., and its related companies have made a name for themselves in the real estate business by offering private investment opportunities. However, the company has recently filed for bankruptcy and faces investor lawsuits. Founded in 2011, iCap promised investors returns from Seattle-area real estate projects but failed […]

Soreide Law Group is investigating potential investor claims against financial advisor Sean Michael Fleming [CRD: 6516544, Mesa, Arizona], given the disclosures on FINRA BrokerCheck. Evidently, Fleming established Fleming Financial Services on February 14, 2018. Keep reading to learn more about Fleming's disclosures. Fleming Financial Services Inc. Investor Accused Fleming Of Unsuitable Recommendations Particularly, a client […]

FINRA and New Jersey Bureau of Securities have barred securities broker Vincent Pucciarelli [CRD: 2039846, Woodbridge, New Jersey]. Evidently, he worked for Investment Network Inc. from January 4, 2017, to August 9, 2023. Here's an overview of the regulatory actions involving Pucciarelli. New Jersey Bureau Of Securities Sanctions Pucciarelli Vincent Pucciarelli faced sanctions from New […]

FINRA BrokerCheck shows that investors filed disputes concerning securities broker Philippus Theunis Van Staden (also known as Philip Van Staden) [CRD#: 4489166, Winter Park, Florida]. Evidently, Van Staden joined Green Vista Capital LLC on July 18, 2018, as a securities broker, and Green Vista Asset Management LLC on August 21, 2018, as a financial advisor. […]

Soreide Law Group is looking into possible investor claims against securities broker Douglas Kaiser (also known as Doug Kaiser) (CRD: 1674570, Boca Raton, Florida). Particularly, FINRA sanctioned the securities broker, who worked for Westpark Capital Inc. Allegedly, Kaiser failed to supervise markdowns and markups at Westpark Capital Inc. Here is a brief summary of FINRA’s […]