Investors Suggest Joseph Gunnar CEO Joseph Alagna Failed To Supervise Investors have come forward with complaints about securities broker Joseph Alagna Jr. [CRD#: 1840339, New York, New York]. Apparently, the securities broker, who currently serves as Chief Executive Officer of Joseph Gunnar, discloses 3 investor disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Apparently, Joseph […]

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 […]

RICHARD COLEMAN Dealt FINRA Suspension The Financial Industry Regulatory Authority (“FINRA”) announced August 8, 2019 that it suspended securities broker Richard Coleman (CRD#: 2720422, Melville, New York) for excessive trading and mismarking order tickets. In fact, Coleman, who worked for securities firms including Legend Securities (March 2015 through February 2016) and Salomon Whitney Financial (February […]

Did Your Broker Sell You UNIT Shares? Investors may have sustained serious losses from investing in Uniti Group Inc. (NASDAQ: UNIT). Mainly, this internally managed real estate investment trust, which concentrates in wireless communication, is down more than 59% from its $21.79 52-week high, trading at $8.86 as of market close on July 16, 2019. […]

MICHAEL DAWSON Misrepresent Your Investments? The Financial Industry Regulatory Authority (“FINRA”) reports troubling allegations against Deutsche Bank Securities broker Michael Dawson (CRD#: 62907, Houston, Texas). Notably, an investor filed a complaint involving the broker, who worked at Deutsche Bank from August 30, 2013 to December 22, 2015. Here’s more about the investor’s claim which suggests […]

WILLIE VALES Allegedly Sold Unsuitable Investments The Financial Industry Regulatory Authority (“FINRA”) confirms on BrokerCheck that investors have disputed the sales practices of Santander Securities LLC securities broker Willie Vales (CRD#: 2166601, Conshohocken, Pennsylvania). Namely, at least three clients of Santander Securities LLC, who Vales worked for from 2014 to 2016, filed disputes which suggest […]

INVESTOR ALERT: Losses From KATHERINE NISHNIC? Katherine Nishnic (CRD#: 2499553, Lexington, South Carolina) is a securities broker previously registered with J.P. Turner & Company, L.L.C. and Centaurus Financial, Inc. Notably, customers have complained about Nishnic’s sales practices. Indeed, the Financial Industry Regulatory Authority (“FINRA”) BrokerCheck shows that three customers referenced Nishnic when disputing the suitability […]

TIMOTHY PROUTY Cause You Investment Losses? Soreide Law Group is evaluating possible claims of suitability, misrepresentation and other sales practice violations against Morgan Stanley Smith Barney securities broker, Timothy Prouty (CRD#: 4928098, Albuquerque, New Mexico). The Financial Industry Regulatory Authority (“FINRA”) shows on Prouty’s FINRA BrokerCheck Report that an investor successfully sued Morgan Stanley over […]

INVESTOR ALERT: Virginia Regulator Alleges UBS Made Unsuitable Recommendations UBS Financial Services, Inc. (CRD#: 8174, Weehawken, New Jersey) is a brokerage and investment advisory firm regulated collectively by Financial Industry Regulatory Authority (“FINRA”), Securities and Exchange Commission (“SEC”) and state securities regulators. Apparently, regulators have sanctioned UBS a number of times for securities industry misconduct. […]