Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552, obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, May, 2013.”
Michael Peter Borci (CRD #5436457, Registered Representative, Apollo Beach, Florida)
was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Michael Borci consented to the described sanction and to the entry of findings that in the course of an investigation, FINRA sought on-the-record testimony from him concerning whether he provided his member firm client with documents overstating
that client’s account value.
FINRA's findings stated that they sent Borci a written request for an on-the-record interview, but he failed to comply with the FINRA request.
(FINRA Case #2012032412801)
The following information is from FINRA's BrokerCheck:
Michael Peter Borci was previously registered with FINRA at the following brokerage firms:
UBS FINANCIAL SERVICES INC.
CRD# 8174
TAMPA, FL
01/2012 - 05/2012
FIFTH THIRD SECURITIES, INC.
CRD# 628
TAMPA, FL
01/2009 - 06/2011
WACHOVIA SECURITIES, LLC
CRD# 19616
TAMPA, FL
03/2008 - 10/2008
This ends the information obtained from FINRA's website.
If you have experienced a financial loss due to your stockbroker or financial advisor’s recommendations, call Soreide Law Group for a free consultation with an attorney at: 888-760-6552.
Pending customer claims on BrokerCheck name Michael Graham (CRD 3263494) and list LPL Financial as the firm. Each claim is pending and unproven, and no arbitrator has ruled on any of them. The customers allege that Graham misrepresented guaranteed principal and returns on a secured loan related to a real estate deal.
An SEC decision involving Titan Securities (CRD 131392) of Plano, Texas became final on August 7, 2026, according to FINRA's October 2026 Disciplinary and Other FINRA Actions report. The decision fined the firm $50,000. The record lists the firm as JTA Securities Management, Inc. dba Titan Securities.
Every settled customer dispute on Peter Maller's BrokerCheck report names Lincoln Financial as the firm. Maller holds CRD number 2322403. The newest dispute, filed on March 5, 2024, settled on August 15, 2024 for $12,500 against alleged damages of $50,000. The claimants alleged that the representative represented an oil and gas investment as safe.
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