The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Brian Donnelly AKA Brian F. Donnelly [CRD#: 4288121, Iselin, NJ]. However, Donnelly denies the allegations. Read on to learn more about the allegations against Donnelly. First Allied Securities Broker Sanctioned By FINRA For Private Securities Transactions Evidently, on June 21, 2022, FINRA issued […]

Investors have come forward with complaints about securities broker Matthew Buchsbaum AKA Matthew Stern Buchsbaum [CRD#: 2220565, New York, NY]. Evidently, the securities broker, who worked for UBS Financial Services, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, UBS Financial Services clients allege that Buchsbaum made unsuitable transactions and misrepresentations. For more […]

Soreide Law Group is investigating possible investor claims against securities broker Christian Frank Lucchetto [CRD#: 4648994, Staten Island, NY]. Lucchetto has worked for (1) Arive Capital Markets since 2019; (2) First Standard Financial Company from 2016 to 2019; and (3) Cape Securities Inc. from 2011 to 2016. Evidently, Financial Industry Regulatory Authority (FINRA) sanctioned the […]

UBS Financial Services Investors have come forward with complaints about securities broker William Word Huthnance [CRD #: 4326519, Houston, Texas]. Huthnance has been employed by UBS Financial Services since 2015. Specifically, UBS Financial Services clients allege that Huthnance made unsuitable recommendations and misrepresentations. For more on these disclosures about Huthnance, see below. William Huthnance Allegedly […]

Soreide Law Group is investigating possible investor claims against securities broker Lon Charles Faccini [CRD #: 2736849, Staten Island, NY]. Faccini worked for (1) Arive Capital Markets from 2016-Present; (2) Cape Securities Inc. from 2010-2016; and (3) Liberty Partners Financial Services from 2006-2010. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that Arive Capital Markets […]

Investors have come forward with complaints about securities broker Alan Zelig Appelbaum [CRD #: 500336, Boca Raton, Florida]. Appelbaum worked for (1) Aegis Capital Corp from 2015-2021; (2) Herbert J. Sims & Co from 2002-2015; and (3) Ryan Beck & Co LLC from 2002-2002. Evidently, the securities broker discloses Aegis Capital Corp investor disputes on […]

Soreide Law Group is investigating possible investor claims against securities broker Allen H. Wilson [CRD #: 2420229, Florham Park, NJ]. Wilson worked for Wells Fargo Clearing Services Inc. from 2012-Present; (2) Stifel Nicolaus & Company from 2007-2012. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that a Wells Fargo client disputed Wilson’s sales practices. Also, […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Jody Bryant Bowers (CRD#: 4798818, Abilene, Texas). Namely, two clients disputed the sales practices of the securities broker, who worked for Sagepoint Financial Inc. from 2012 to 2014 and Lowell & Company Inc. from April 2014 to June 2018. Here’s more on the […]

Broker Barry Garapedian (Morgan Stanley) Faces Investor Disputes The Financial Industry Regulatory Authority (FINRA) provides important information in regard to securities broker Barry Lee Garapedian (CRD#: 1039257, Westlake Village, California). It appears that the disclosures involving Garapedian mainly concern his employment at Morgan Stanley. He worked at the firm’s CA offices from 2009 to 2021. […]