Clients Of Wells Fargo, Ameriprise File Disputes About Broker Jon Mirer Evidently, as of 2020, two additional investor disputes are reported on the FINRA BrokerCheck profile of securities broker Jonathan Ben Mirer, who goes by "Jon Mirer" (CRD#: 336638, Henderson, Nevada). Evidently, Mirer worked for securities firms, including Wells Fargo Advisors LLC (2003 to 2016) […]

Disputes Filed By Investors Of NSC, Aegis Concerning Securities Broker Johnny Guan Soreide Law Group comes to you with important information regarding securities broker Johnny Guan (CRD#: 5711977, Red Bank, New Jersey). It appears on Financial Industry Regulatory Authority (FINRA) BrokerCheck that Guan is involved in four investor disputes. Evidently, the securities broker, who worked […]

Broker Frank Venturelli Ordered To Pay Fine By NJ Regulator The New Jersey Bureau of Securities reported that it sanctioned securities broker Frank Venturelli (CRD#: 6403468, Bay Ridge, New Jersey). Evidently, he is also known by the name Frank Vaughn. Notably, the securities broker, who worked for FINRA-member firms First Standard Financial Company (2014 to […]

Broker Gerry Sharpe Facing Disputes From Aegis Capital Corp Clients Financial Industry Regulatory Authority (FINRA) BrokerCheck reports that investors disputed securities broker Gerald “Gerry” Richard Sharpe Jr. (CRD#: 2109210, Red Bank, New Jersey). It appears that Sharpe is an Aegis Capital Corp securities broker (2016 to present) and also worked for securities firms JW Barclay […]

FINRA's Complaint Alleges Gregory Lewis' Misconduct Concerning StockKings The Financial Industry Regulatory Authority (FINRA) Department of Enforcement filed a complaint against securities broker Gregory Antonius Lewis (CRD#: 2793976, St. Petersburg, Florida). Specifically, the securities broker, who worked for StockKings Capital LLC since June 2013, is accused of misconduct relating to private securities offerings. Soreide Law […]

Worden Capital Managment Clients File Disputes Concerning Broker Christ Baltas The Financial Industry Regulatory Authority (“FINRA”) reported that investors filed disputes about securities broker Christ Elias Baltas (CRD#: 2570499, Melville, New York). Namely, two investors filed disputes about Baltas’ sales practices. Those disputes seem to concern his actions while working for Worden Capital Management (Melville, […]

FINRA Bars Robert Escobio Per NAC Decision The Financial Industry Regulatory Authority (“FINRA”) barred Robert Juan Escobio – the former Southern Trust Securities CEO (CRD#: 703813, Miami, Florida). This bar means that Escobio cannot be a FINRA-member securities broker or associate with those firms. Other regulatory actions are reported on this securities broker’s record too. […]

Aegis Clients Call Attention To Securities Broker Thomas Duggan In Investor Disputes Financial Industry Regulatory Authority (“FINRA”) BrokerCheck contains important disclosures regarding securities broker Thomas Duggan (CRD#: 2757615, Melville, New York) that is relevant to investors. Specifically, investor disputes alleging excessive trading, unsuitable trading and unauthorized trading are on the record of the securities broker, […]

Morgan Stanley Investor Disputes Concern Securities Broker Bill Collins Soreide Law Group comes to you with new information regarding securities broker William Lief Collins (CRD#: 2787822, Birmingham, MI). Evidently, the Financial Industry Regulatory Authority (“FINRA”) indicates that Collins is a Morgan Stanley financial advisor (June 2010 to present) and Morgan Stanley securities broker (May 2010 […]