Investors reportedly may have incurred losses because of securities broker John Peter Micera [CRD: 1255342, Mendham, New Jersey], according to disclosures on FINRA BrokerCheck. According to the regulator, Micera has worked for RBC Capital Markets LLC at its Florham Park, New Jersey, location since March 9, 2002, and at its Mendham, New Jersey, location since […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Gregory Alan Corrie [CRD: 1982814, Boise, Idaho]. Corrie, who worked for firms including Cambridge Investment Research, Inc. from January 2020 to March 2023 and Cetera Advisors LLC from November 2017 to November 2019, is the subject of multiple adverse disclosures. Recent regulatory actions and […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Francis Joseph Velten Jr. (also known as Frank Velten) (CRD: 2291911, New Port Richey, Florida). Not only has FINRA sanctioned Velten for failing to comply with a FINRA investigation into possible violations of FINRA rules, but investors disputed his sales practices. However, Velten […]

Broker, RON RAY WILLOUGHBY JR (CRD#: 2425926), formerly with Morgan Stanley of Tempe, AZ, currently with Kestra Investment Services of Venice, CA, was fined $5,000 by FINRA and was  suspended for three months, with starting date of July 1, 2019 and ending date, September 30, 2019. According to FINRA, allegedly, RON RAY WILLOUGHBY JR engaged […]

Massachusetts regulators have charged StockCross Financial Services and Peter Edward Cunningham (CRD#: 2400211), one of its brokers/investment advisors, with allegedly engaging in improper trading practices. StockCross is also charged with alleged failure to reasonably supervise its agent. The regulators have charged StockCross and Peter Cunningham of Los Angeles, with allegedly recommending their clients, 30% of […]

Soreide Law Group, based in Pompano Beach, Florida, obtained the following information from FINRA’s April 2018 Disciplinary Report on the Florida firm:  GWN Securities Inc. (CRD #128929, Palm Beach Gardens, Florida) FINRA censured the firm, fined them $100,000, ordered them to pay $72,715.82, plus interest, in restitution to clients, and required GWN Securities to submit […]

Soreide Law Group, based in Florida, obtained the following from FINRA’s Disciplinary Report March, 2018: Richard Alan Shotz (CRD #1681893, Port Orange, Florida)  was fined $7,500 and suspended by FINRA for four months for allegedly engaging in an unsuitable pattern of short-term trading of unit investment trusts (UITs) in client accounts. FINRA’s findings stated that […]

Soreide Law Group, a Florida-based law firm, obtained the following information from FINRA’s website, available to the public, under “Disciplinary and Other FINRA Actions, August 2017.”  Anthony Joseph Verzi (CRD #1186572, Melbourne, Florida) was barred from association with any FINRA member in all capacities for allegedly refusing to appear for FINRA-requested on-the-record testimony during the […]

Soreide Law Group, based in Pompano Beach, Florida, obtained the following information on FINRA’s website’s August 2017 Disciplinary Report on South Florida broker:  Christopher Robert Hickman (CRD #3267599, Boynton Beach, Florida) was assessed a deferred fine of $5,000, suspended from association with any FINRA member in all capacities for five months, and ordered to pay […]