The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Joseph Audia (also known as Joseph Scott Audia) [CRD: 2909761, Hauppauge, NY]. Not only has FINRA sanctioned Audia for failure to supervise, but investors complained about the securities broker. However, Joseph Audia denies the allegations. Read on to learn more about the allegations […]

Soreide Law Group is investigating possible investor claims against securities broker Bill Burks (also known as William Charles Burks II) (CRD:  2944992, Flower Mound, TX). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Centaurus Financial Inc. Evidently, one or more investors alleged […]

Investors have come forward with complaints about securities broker Thais Piotrowski AKA Thais Drummond Moreira [CRD#: 4729077, Boca Raton, FL]. Evidently, the securities broker, who worked for Ameriprise Financial Services, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Ameriprise Financial Services clients allege that Piotrowski made unsuitable recommendations. For more on these […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker James Pecoraro AKA James Robert Pecoraro [CRD#: 2440231, Garden City, NY]. However, Pecoraro denies the allegations. Read on to learn more about the allegations against Pecoraro. FINRA Sanctions SW Financial Securities Broker James Pecoraro For Unsuitable Trading Evidently, on August 4, 2022, FINRA […]

Investors have come forward with complaints about securities broker John Mateyko AKA John R. Mateyko [CRD#: 3275621, Rolling Meadows, IL]. Evidently, the securities broker, who worked for World Equity Group, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, World Equity Group clients allege that Mateyko made unsuitable transactions, made misrepresentations, and failed […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Michael Martino AKA Michael Christopher Martino [CRD#: 2579146, New York, NY]. Evidently, investors disputed the sales practices of the securities broker, who worked for Four Points Capital Partners. Additionally, the securities broker discloses a regulatory enforcement action. However, Martino denies the allegations of […]

Investors have come forward with complaints about securities broker Edgar Kleydman AKA Edgar A. Kleydman [CRD#: 2727571, Brooklyn, NY]. Evidently, the securities broker, who worked for Equitable Advisors, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Equitable Advisors clients allege that Kleydman acted unethically, breached a fiduciary duty, made unsuitable transactions, breached […]

Investors have come forward with complaints about securities broker John Egan AKA John Eugene Egan [CRD#: 818750, Boca Raton, FL]. Evidently, the securities broker, who worked for Newbridge Securities Corp., discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Newbridge Securities Corp. clients allege that Egan breached a fiduciary duty, breached a contract, […]

Investors have come forward with complaints about securities broker Jimmy Driggers AKA James Yang Driggers and Jim Driggers [CRD#: 1359593, Sarasota, FL]. Evidently, the securities broker, who worked for Morgan Stanley Smith Barney, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Morgan Stanley Smith Barney clients allege that Driggers made unauthorized transactions. […]