The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker David Karandos AKA David Karandos [CRD#: 1934119, Indianapolis, IN]. Evidently, investors disputed the sales practices of the securities broker, who worked for Dinosaur Financial Group. Additionally, the securities broker discloses a regulatory enforcement action. However, Karandos denies the allegations of sales practice violations. […]

Investors have come forward with complaints about securities broker Steven Greer AKA Andrew Greer [CRD#: 5976309, Charlotte, NC]. Evidently, the securities broker, who worked for GF Investment Services, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, GF Investment Services clients allege that Greer violated securities laws, breached a fiduciary duty, acted unethically, […]

Investors have come forward with complaints about securities broker Samuel Girgiss [CRD#: 6088898, New York, NY]. Evidently, the securities broker, who worked for Worden Capital Management, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Worden Capital Management clients allege that Girgiss made unsuitable and excessive transactions and failed to supervise. For more […]

Soreide Law Group is investigating possible investor claims against securities broker David Geake AKA David Richard Geake [CRD#: 3088891, Chicago, IL]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for American Trust Investment Services. Evidently, investors allege sales practice violations in these disputes, […]

Soreide Law Group is investigating possible investor claims against securities broker Palmery Desir AKA Paul Desir [CRD#: 5559016, Huntington, NY]. Evidently, FINRA sanctioned the securities broker, who worked for Richfield Orion International. Allegedly, Desir made unsuitable recommendations. Here is a brief summary FINRA’s allegations against Desir. FINRA Sanctions Richfield Orion International Securities Broker For Unsuitable […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Michael Fasciglione [CRD#: 1806486, Garden City, NY]. Evidently, investors disputed the sales practices of the securities broker, who worked for Aegis Capital Corp. Additionally, the securities broker discloses a regulatory enforcement action. However, Fasciglione denies the allegations of sales practice violations. Read on […]

Soreide Law Group is investigating possible investor claims against securities broker Stephen Coma AKA Stephen Robert Coma [CRD#: 1414147, Charlotte, NC]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Hilltop Securities. Evidently, investors allege sales practice violations in these disputes, including that […]

Soreide Law Group is investigating possible investor claims against securities broker Ramiro Colon AKA Ramiro Luis Colon Ortiz III [CRD#: 1868710, Miami, FL]. Evidently, FINRA sanctioned the securities broker, who worked for UBS Financial Services. Allegedly, Colon utilized unauthorized communication channels to conduct investment related business. Here is a brief summary FINRA’s allegations against Colon. […]

Soreide Law Group is investigating possible investor claims against securities broker Ann Box AKA Annetta Marie Box Taylor and Annetta Marie Taylor [CRD#: 1662151, Dallas, TX]. Evidently, FINRA sanctioned the securities broker, who worked for Cambridge Investment Research Inc. Allegedly, Box failed to provide information and documents to FINRA when it investigated possible violations of […]