Clients File Disputes About Barred Country Capital Broker Adam Lopez Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports alarming allegations of improprieties by securities broker Adam Michael Lopez [CRD#: 5562750, Springfield, Illinois]. Notably, no less than 11 clients brought disputes about the securities broker, who associated with Country Capital Management Company from September 16, […]

Joseph Stone Broker Erik Pica Allegedly Steals $200,000 From Client Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports alarming allegations of improprieties by Joseph Stone Capital securities broker Erik Pica [CRD#: 4829533, New York, New York]. Namely, FINRA filed a complaint against Pica alleging his conversion of client funds. In addition, 7 clients  brought […]

UBS Customers File Disputes About Dwight West Soreide Law Group is investigating potential investor claims of bad securities sales by broker Dwight West [CRD#: 463778, Lone Tree, Colorado]. Notably, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck reports that no less than 6 clients contested the securities recommendations or sales of the securities broker, who joined UBS […]

FINRA Investigating Allegations Of Excessive Trading By First Standard Broker Andre Davis Soreide Law Group is reviewing possible investor claims against Andre Davis [CRD#: 1417097, Red Bank, New Jersey]. Apparently, he worked for First Standard Financial Company between 2015 and 2019 and joined Paulson Investment Company in 2019. It appears that Financial Industry Regulatory Authority […]

Investors Dispute Sales Practices Of Sylvester Knox Investors continue to dispute the sales practices of securities broker Sylvester Knox (CRD#: 1625705, Short Hills, New Jersey). Namely, the securities broker, who Merrill Lynch disaffiliated with in 2017 for allegedly making unauthorized trades and misrepresentations, is entangled in 25 client disputes. These client disputes, disclosed on FINRA […]

FINRA Suspends Paulson Broker MICHAEL NIXON The Financial Industry Regulatory Authority (“FINRA”) announced August 16, 2019 that it issued a $5,000 fine and 15-day suspension to Paulson Investment Company (“Paulson”) securities broker Michael Nixon (CRD#: 2169631, Tampa, Florida). Evidently, the securities broker, who started working for Paulson beginning in December 2015, executed a Letter of […]

Did Morgan Stanley's Daniel Reilly Cause Your Investment Losses? FINRA BrokerCheck reports troubling allegations against Morgan Stanley securities representative Daniel Reilly (CRD#: 4752371, New York, New York). Specifically, the securities broker, who worked for Morgan Stanley from February 20, 2015 to June 15, 2018, discloses two clients disputes which settled through payments to them, and […]

DAVID SILBERG Sanctioned By Massachusetts Regulator Evidently, Massachusetts Securities Division issued a Consent Order on September 27, 2018, placing securities broker David Silberg (CRD#: 1970484, Melville, New York) on heightened supervision. The Division prohibited Silberg, who affiliated with Aegis Capital Corp. between 2010 and 2019, from soliciting investment purchases from clients for 5 years. Not […]

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, […]