Investors apparently complained about securities broker Sergio M. Rovner (also known as Sergey Rovner) [CRD: 2884441, New York, New York], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Rovner has been registered with Aegis Capital Corp. since July 2, 2014. Keep reading to discover more about the disclosures […]

Investors have reportedly disputed the sales practices of securities broker Michael Geoffrey Minter [CRD: 2989575, Lutz, Florida], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Minter has been registered with Lifemark Securities Corp. since September 23, 2009, and as an investment adviser representative with the same firm since August 25, 2021. Read […]

Investors might have sustained losses due to securities broker Benjamin Melvin Schick [CRD: 4897243, Lake Mary, Florida], according to publicly available information reported on FINRA BrokerCheck. Schick has worked with Cobalt Capital Inc. since December 6, 2005, where he continues to work today. Read on to learn more about a pending investor dispute and the […]

One or more investors might have sustained losses due to securities broker David Griswold Curry [CRD: 4506561, Atlanta, Georgia], based on publicly available information reported on FINRA BrokerCheck. David Curry joined Arkadios Capital on March 10, 2017. He also joined EPG Wealth Management LLC on June 3, 2019. Both firms are located in Atlanta, Georgia. […]

Concerns have emerged this year regarding investments in Strategic Storage Growth Trust III, a self-storage-focused Real Estate Investment Trust (REIT) sponsored by SmartStop Self Storage REIT. Investors are facing possible losses, as shares have recently traded below their initial value in the secondary market. Below, Soreide Law Group will provide a quick summary of the […]

Investors in Aegis Special Situation Funds, managed by Aegis Capital, might be facing unexpected challenges. These funds, which focus on acquiring shares in mid- to late-stage pre-IPO technology and services companies, have attracted scrutiny due to concerns about their performance and the appropriateness of investment recommendations made by financial advisors. Below, Soreide Law Group will […]

FINRA fined securities broker Todd Arnold Havemeister [CRD: 1942953, Melbourne, Florida], and investors complained about him, according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Todd Havemeister worked for Great Point Capital LLC from August 21, 2018, to May 5, 2022. Here’s more about the disclosures concerning Todd Havemeister and how they may […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Stacy Mari Goldsmith [CRD: 1416323, Red Bank, New Jersey], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Stacy Goldsmith worked for Hebert J. Sims Co Inc. from February 22, 2012, and for Herbert J. Sims […]

Securities Broker Rand Heckler Targeted By SEC, FINRA Soreide Law Group provides you with this Investor Alert in regard to former Benjamin Jerold Brokerage I LLC securities broker Rand Alan Heckler (CRD#: 2689235, Glen Cove, New York). Notably, on September 30, 2020, SEC charged Heckler with violating securities laws. Not only that, but FINRA barred […]