Investors might have sustained losses due to securities broker Vincent Anthony Sharpe (also known as Vincent Ottomanelli-Sharpe) [CRD: 5435813, Syosset, New York], according to disclosures on FINRA BrokerCheck. Evidently, Vincent Sharpe worked for Aegis Capital Corp. from August 5, 2016, to October 18, 2019, in Red Bank, New Jersey. Following his employment at Aegis Capital […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Tim Paul Peyton [CRD: 1773817, Gretna, Louisiana], given the disclosures on FINRA BrokerCheck. Evidently, Tim Peyton worked for Salomon Smith Barney from April 1994 to April 2001. Crown Capital Securities LP Investor Accused Peyton Of Unsuitable Recommendations Particularly, […]

Soreide Law Group is investigating potential investor claims against financial advisor Sean Michael Fleming [CRD: 6516544, Mesa, Arizona], given the disclosures on FINRA BrokerCheck. Evidently, Fleming established Fleming Financial Services on February 14, 2018. Keep reading to learn more about Fleming's disclosures. Fleming Financial Services Inc. Investor Accused Fleming Of Unsuitable Recommendations Particularly, a client […]

Investors might have sustained losses because of securities broker Scot Barringer [CRD: 1385168, San Clemente, California], according to disclosures on FINRA BrokerCheck. Evidently, Barringer joined American Trust Investment Services Inc. on July 22, 2020, and Chicago Capital Management Advisors LLC on July 23, 2020. Previously, he worked for Westpark Capital Inc. from 2016 to 2020. […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Ruben Javier Frezzotti [CRD: 4439983, Coral Gables, Florida], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Frezzotti's employment at Raymond James Associates Inc., spanning from February 13, 2013, to October 10, 2023, has been marked by […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Michael Raymond Frager [CRD: 1230622, Winneconne, Wisconsin], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Frager worked for Willow Cove Investment Group Inc. since April 27, 2020, and for Balboa Wealth Partners Inc. since November […]

Investors might have sustained losses because of securities broker Michael Scott Barrows [CRD: 2933260, Irvine, California], according to disclosures on FINRA BrokerCheck. Evidently, Barrows joined M Stevens Securities LLC and M Stevens Wealth Advisors LLC, both located in Irvine, CA, on June 9, 2023, and April 4, 2018, respectively. He previously worked for Kingswood Capital […]

Investors might have sustained losses because of securities broker Matthew Kenneth Wilkes [CRD: 5409004, Knoxville, Tennessee], according to disclosures on FINRA BrokerCheck. Evidently, Wilkes worked for TrustFirst in Knoxville, TN, from April 4, 2019, to October 30, 2023, FSIC in Chicago, IL, from June 21, 2017, to September 12, 2018, and Raymond James Financial Services […]

Investors might have sustained losses because of securities broker Luke Michael Johnson [CRD: 3257008, Scottsdale, Arizona]. Johnson worked for Coastal Equities Inc. from April 3, 2012, to December 13, 2019. Below, you'll find information about some investor disputes concerning Johnson. You'll also learn more about a recent FINRA case where the regulator sanctioned him for […]