Investors apparently complained about securities broker Samuel Bruce Phillips Jr. [CRD: 2239471, McDonough, Georgia], according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Phillips worked for Cape Securities Inc. beginning July 7, 2016, and has also been registered with Cape Investment Advisory Inc. since July 7, 2016, and American Global Wealth Management […]

Investors have reportedly disputed the sales practices of securities broker Derek Robert Taylor [CRD: 5214675, Ashland, Ohio], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Derek Taylor worked for The Huntington Investment Company beginning March 29, 2010, and later registered as a financial advisor with Huntington Financial Advisors starting July 3, 2013. Investors […]

Investors potentially incurred losses because of securities broker Davin J. Carey [CRD: 5413012, Oxnard, California], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Carey worked for Avantax Investment Services Inc. from December 17, 2007, to September 5, 2025, and Avantax Advisory Services from August 22, 2008, to September 5, 2025, before […]

Soreide Law Group is investigating potential investor claims involving sales practice violations by securities brokers and financial advisors related to Lightstone Value Plus REIT V. Lightstone Value Plus REIT V is a publicly registered, non-traded real estate investment trust that was marketed to retail investors, often as an income-oriented alternative investment. Recent disclosures regarding liquidity […]

Investors potentially experienced sales practice violations by securities broker Ivan Michael West [CRD: 4921015, San Clemente, California], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. West worked for WestPark Capital Inc. from November 1, 2017, to June 8, 2020, and has been registered with American Trust Investment Services Inc. since June […]

Investors apparently complained about securities broker Steven Bae Cho [CRD: 2610257, Red Bank, New Jersey], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Cho worked for Herbert J. Sims Co. Inc. beginning on February 1, 2019, and later became registered with Herbert J. Sims Capital Management Inc. on August 18, 2021, after previously […]

Investors might have sustained losses due to securities broker Joseph Philip Tartaglini Jr. [CRD: 4963465, Reno, Nevada], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Tartaglini has been registered with J.P. Morgan Securities LLC since August 18, 2017, where he has served as both a broker and an investment adviser. Investors […]

Investors potentially experienced sales practice violations by securities broker Brett Michael Frum [CRD: 2175253, Green Bay, Wisconsin], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Frum worked for AEI Securities Inc. from April 7, 2021, to August 17, 2021, and later became registered with KCD Financial Inc. beginning November 3, 2021, including registrations […]

Investors might have sustained losses due to securities broker Ronald Norman York Jr. [CRD: 4308987, Wall, New Jersey], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. York worked for Triad Advisors LLC from March 21, 2014, to April 30, 2019, and he has been registered with Arkadios Capital and Arkadios Wealth Advisors since […]