Anthony John Pitta of Melville, NY, a stockbroker registered with Capital Investment Group Inc., is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested $100,000.00 in damages based upon allegations that Pitta made unsuitable recommendations, breached his fiduciary duties, and made misrepresentations and omissions of material fact…

Mei Xia Guo (also known as Gracie Guo), of Monterey Park, CA, a stockbroker registered with Cetera Investment Services LLC, was the subject of a customer initiated investment related FINRA securities arbitration claim that was settled for $80,000.00 in damages based upon allegations that Guo made unsuitable recommendations of real estate securities when Guo was…

Jeffrey Brian Forehand (also known as Jeff Forehand) of Myrtle Beach, SC, a stockbroker registered with First Allied Securities Inc., was the subject of a customer initiated investment related FINRA securities arbitration claim that was settled for $14,600.00 in damages based upon allegations that Forehand made unsuitable recommendations, breached a contract, was negligent, and failed…

Eric Scott Felsenfeld of Bethesda, MD, a stockbroker registered with H. Beck Inc., was the subject of a customer initiated investment related FINRA securities arbitration claim that was settled for $30,000.00 in damages based upon allegations that Felsenfeld made misrepresentations of material fact in connection with the recommendation and sale of direct investments,  Real Estate…

Gary Lyle Pevey of Sacramento, CA, a stockbroker registered with Mutual Securities Inc., was the subject of a customer initiated investment related FINRA securities arbitration claim that was settled for $26,206.00 in damages based upon allegations that Pevey committed fraud in connection with the sale of real estate securities during the time that Pevey was…

Jeffrey John Furniss of Annapolis, MD, a stockbroker registered with Lincoln Financial Advisors Corporation, is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested compensation based upon allegations that Furniss made unsuitable recommendations of oil and gas investments when Furniss was associated with Lincoln Financial Advisors Corporation. Financial…

Matthew Gates (also known as Matt Gates), of New York, NY, a stockbroker registered with Joseph Gunnar Co. LLC, was the subject of a customer initiated investment related FINRA securities arbitration claim that was settled for $43,000.00 in damages based upon allegations that Gates made unsuitable recommendations of real estate investment trusts or REITs  during…

Robert D’Agosta of Cedar Rapids, IA, a stockbroker registered with Berthel Fisher Company Financial Services Inc., was the subject of a customer initiated investment related FINRA securities arbitration claim that was settled for $25,000.00 in damages based upon allegations that D’Agosta made unsuitable recommendations, made misrepresentations and omissions of material fact, and failed to perform…

Farrukh Shazad Kazmi, of Moorestown, NJ, a stockbroker registered with Berthel Fisher Company Financial Services Inc., was the subject of a customer initiated investment related FINRA securities arbitration claim that was settled for $130,000.00 in damages based upon allegations that Kazmi made unsuitable recommendations, made misrepresentations of material fact, and failed to perform due diligence…

Thomas Michael Rauchegger, of Maitland, FL, a stockbroker registered with Kalos Capital Inc., was the subject of a customer initiated investment related FINRA securities arbitration claim that was settled for $40,000.00 in damages based upon allegations that Rauchegger made unsuitable recommendations of real estate securities during the time that Rauchegger was associated with Kalos Capital…

Joseph Edward Faherty of Old Tappan, NJ, a stockbroker registered with Royal Alliance Associates Inc., was the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested $100,000.00 in damages based upon allegations that Faherty made unsuitable invstment recommendations of Business Development Companies or “BDCs” during the time that…

Victor A. Rigoni III of Lake Forest, Illinois, a stockbroker registered with Cetera Advisor Networks LLC, has been fined $5,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Rigoni failed to make regulatory disclosures. Department of Enforcement v. Victor A. Rigoni III, Order Accepting…

Cynthia Ann Giovacchino, of Ansonia, Connecticut, a stockbroker registered with LPL Financial LLC, was the subject of a customer initiated investment related complaint that was settled on February 11, 2022, to resolve allegations that Giovacchino made unsuitable recommendations of Real Estate Investment Trust or REIT during the time that Giovacchino was associated with LPL Financial…

Edward Chong Yoon of Pasadena, California, a stockbroker registered with First Allied Securities Inc., was the subject of a customer initiated investment related FINRA securities arbitration claim that was settled for $36,250.00 in damages based upon allegations that Yoon made unsuitable recommendations, breached a contract, breached his fiduciary duties, and was negligent in connection with the…

Jonathan David Cummings of Hurst, Texas, a stockbroker registered with InvestaCorp Inc., was the subject of a customer initiated investment related FINRA securities arbitration claim that was settled for $15,000.00 in damages based upon allegations that Cummings made misrepresentations and omissions of material fact, was negligent, and made unsuitable recommendations of real estate securities during…

Dennis Fred Baker of Verona, Wisconsin, a stockbroker registered with Woodbury Financial Services Inc., was the subject of a customer initiated investment related complaint filed on August 18, 2021, in which the customer requested $5,000.00 in damages based upon allegations that Baker made misrepresentations of material fact in connection with the recommendation and sale of…

Frank Briseno of Metairie, Louisiana, a stockbroker registered with FSC Securities Corporation, was the subject of a customer initiated investment related FINRA securities arbitration claim that was settled on July 21, 2020 for $3,500,000.00 in damages based upon allegations that Briseno made unsuitable recommendations concerning the sale of variable annuities and real estate securities during the course of…

Wenjinn James Chang of Rockville, Maryland, a stockbroker registered with Independent Financial Group LLC was the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim that was settled for $85,000.00 in damages based upon allegations that Chang made unsuitable recommendations and overconcentrated the customer’s account in real estate securities…

Donnie Eugene Ingram of Winter Haven, Florida, a stockbroker formerly registered with Centaurus Financial Inc., and Centaurus Financial are the subject of a Financial Industry Regulatory Authority (FINRA) enforcement action in which the regulator is seeking sanctions against Ingram based upon allegations that Ingram made unsuitable recommendations, and that Centaurus Financial failed to reasonably supervise…

Peter David Maller of Hunt Valley, Maryland, a stockbroker registered with Lincoln Financial Advisors was is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim that settled for $115,000.00 in damages based upon allegations that Maller made the unsuitable recommendation and sale of variable annuities and real estate…

Ross L. Anderson of Rancho Santa Margarita, California, a stockbroker registered with Sagepoint Financial Inc., was the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim that was settled for $85,000.00 in damages based upon allegations that Ross Anderson made unsuitable investment recommendations with regard to the sale of…

Robert Steven Weissbein (also known as Bob Weissbein), of Plantation, Florida, a stockbroker registered with First Allied Securities Inc., is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim that was settled for $35,000.00 in damages based upon allegations that Weissbein made unsuitable recommendations, breached his fiduciary duties,…

Miaojun Yuan, of City of Industry, California, a stockbroker registered with Questar Capital Corporation, is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim that was settled for $140,000.00 in damages based upon allegations that Yuan made unsuitable recommendations and misrepresentations in connection with the recommendation and sale…

Charles Thomas Stevens of St. Augustine, Florida, a stockbroker formerly registered with D.H. Hill Securities LLLP, is the subject of a customer initiated investment related FINRA securities arbitration claim that was settled for $12,500.00 in damages based upon allegations that Stevens breached a contract, breached a fiduciary duty, acted negligently, and defrauded the customer with…

Chad Ryan Barancyk of Chicago, Illinois, a stockbroker formerly registered with First Allied Securities Inc., is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested $260,000.00 in damages based upon allegations that Barancyk breached a contract, breached a fiduciary duty, acted negligently, and effected unsuitable transactions in…

William Colie Johnson of Greenville, South Carolina, a stockbroker formerly registered with Voya Financial Advisors Inc., is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested $121,500.00 in damages based upon allegations that Johnson made unsuitable transactions with regard to the recommendation and sale of real estate…

Bryon Edwin Martinsen of Kings Park, New York, a stockbroker currently registered with Centaurus Financial Inc., has been fined $10,000 and suspended for 15 months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because of Martinsen’s private securities transactions during the time that he was associated with Centaurus Finacnial Inc….

Jeffrey Alan Kiesnoski of Jefferson, New York, a stockbroker registered with Concorde Investment Services LLC, is referenced in a customer initiated investment related FINRA securities arbitration claim that was settled for $8,500.00 in damages based upon accusations that Kiesnoski breached a contract and breached a fiduciary duty in connection with the recommendation and sale of…

Michael Joseph Sievert (also known as Mike Sievert) of Jacksonville, Florida, a stockbroker formerly registered with Triad Advisors LLC, is identified in a customer initiated investment related FINRA securities arbitration claim where the customer sought $200,000.00 in damages based upon accusations that Sievert made unsuitable recommendations in connection with real estate security transactions while he…

Christopher Neil Watkins of Louisville, Kentucky, a stockbroker formerly registered with LPL Financial LLC, is the subject of a customer initiated investment related complaint on June 2, 2022, where the customer sought compensatory damages based upon allegations that Watkins provided unsuitable investment recommendations in connection with the sale of alternative investments, including business development company…

Andrew Raymond Scheirer (also known as Andy Haas) of Lake Mary, Florida, a stockbroker formerly registered with Kovack Securities and Purshe Kaplan Sterling Investments, was referenced in a customer initiated FINRA securities arbitration claim which was settled for $17,500.00 in damages based upon on the allegations that Kovack failed to supervise and that Scheirer made…

Xiangyu Yu Zhang (also known as Sean Zhang) of Arcadia, California, a stockbroker formerly registered with Cetera Investment Services, is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested up to $99,999.99 in damages founded on allegations that Zhang provided unsuitable investment recommendations to the customer concerning …

Kevin Charles Fretz of South Windsor, Connecticut, a stockbroker formerly registered with LPL Financial LLC, was the subject of a customer initiated investment related FINRA securities arbitration claim which was settled for $55,000.00 in damages based upon allegations that Fretz made the unsuitable recommendation of certain non-traded real estate investment trusts (“REITs”) while he was…

Gary David Ginsberg of West Orange, New Jersey, a stockbroker formerly registered with Royal Alliance Associates Inc., is the subject of a customer initiated investment related FINRA securities arbitration claim which was settled for $65,000.00 in damages based upon allegations that Ginsberg made  unsuitable alternative investment recommendations while associated with Royal Alliance. Financial Industry Regulatory…

Brian F. Donnelly of Iselin, New Jersey, a stockbroker formerly registered with First Allied Securities Inc., has been suspended for four months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Donnelly engaged in private securities transactions when he was associated with First Allied Securities. Letter of…

Robert Scott Ginsberg (also known as Bob Scott Ginsberg) of Wallingford, Connecticut, a stockbroker registered with Investors Capital Corp and Woodbury Financial Services Inc., is identified in a customer initiated investment related FINRA securities arbitration claim which was resolved for $35,000.00 in damages based upon allegations of unsuitable investment recommendations by Ginsberg concerning real estate securities,…

Mark Charles Cohen of New York, New York, a stockbroker formerly registered with BCG Securities Inc., is the subject of a customer initiated investment related FINRA securities arbitration claim which was resolved for $55,000.00 in damages based upon accusations of BCG Securities’ failure to supervise trading in the customer’s account, resulting in unsuitable real estate…

Brian Radoo of North Woodmere, New York, a stockbroker formerly registered with Next Financial Group Inc., is referenced in a customer initiated investment related FINRA securities arbitration claim in which the customer sought $76,000.00 in damages based upon accusations that the customer was provided bad advice by Radoo regarding purchases of non-traded real estate investment…

William Franklin Richardson (also known as Frank Richardson) of Houston, Texas, a stockbroker formerly registered with Investacorp Inc., is referenced in a customer initiated investment related FINRA securities arbitration claim which was resolved for $90,000.00 in damages based upon accusations of unsuitable Business Development Company and Real Estate Investment Trust purchases  by Richardson while he…

Charles Chester Kulch of Nashua, New Hampshire, a stockbroker formerly registered with Next Financial Group Inc., has been barred by Massachusetts Securities Division from being a stockbroker supported by allegations of Kulch making unsuitable recommendations to customers on variable annuities and non-traded real estate investment trusts. In the Matter of Charles C. Kulch Docket No….

Steven Andrew Greer of Charlotte, North Carolina, a stockbroker formerly registered with GF Investment Services LLC, is identified in a customer initiated investment related civil lawsuit where the customer requested $25,000.00 in damages based upon allegations of unsuitable recommendations by Greer concerning direct participation programs, business development corporations, real estate securities, and fixed annuities during…

Adam Gerard Belardino of Elmsford, New York, a stockbroker formerly registered with MML Investors Services LLC, is identified in a customer initiated investment related written complaint which was resolved for $13,431.00 on December 21, 2021, founded on accusations that unsuitable real estate investment trusts were sold to the customer by Belardino during the time that…

Christopher John Shaw (also known as Chris John Shaw), a stockbroker formerly registered with Kalos Capital, is the subject of a customer initiated investment related FINRA securities arbitration claim which was settled for $25,000.00 on June 30, 2021, supported by accusations of breach of fiduciary duty relating to illiquid and risky alternative investments, including non-traded…

Christopher John Passero of Hurricane, West Virginia, a stockbroker currently registered with Money Concepts Capital Corp, has been fined $10,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that Passero shared in customers’ losses when he was registered with Money Concepts Capital…

Christopher Grant Conness of Fort Lauderdale, Florida, a stockbroker formerly registered with GF Investment Services LLC, is identified in a customer initiated investment related FINRA securities arbitration claim in which the customer requested compensatory damages supported by allegations that the customer was provided with unsuitable recommendations of real estate securities and alternative investments, including direct…

John Edward Massa of Staten Island, New York, is identified in a customer initiated investment related FINRA securities arbitration claim in which the customer sought compensatory damages based upon accusations of Massa’s unsuitable recommendations of real estate investment trusts (REITs) when he was associated with Cetera Investment Services. Financial Industry Regulatory Authority (FINRA) Arbitration No….

Mark Allen Barrand of Denver, Colorado, a stockbroker formerly registered with Cetera Advisors LLC, is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer sought $100,000.00 in damages founded on accusations of Barrand’s unsuitable investment advice as it pertained to real estate securities when Barrand was registered with…

Shawn Bruce Davis of Auburn, California, a stockbroker formerly registered with Independent Financial Group, is identified in a customer initiated investment related FINRA securities arbitration claim in which the customer sought compensatory damages supported by accusations that REIT and interval fund transactions effected in the customer’s account by Davis were unsuitable for the customer during…

Bryon Edwin Martinsen of Kings Park, New York, a stockbroker currently registered with Centaurus Financial Inc., is identified in a customer initiated investment related FINRA securities arbitration claim which was settled for $15,801.50 in damages based upon allegations that the customer’s account had been overconcentrated by Martinsen in real estate securities in illiquid investments while…

Randy Lee Birkinbine, of North Oaks, Minnesota, a stockbroker formerly registered with Ausdal Financial Partners Inc., is referenced in a customer initiated investment related securities arbitration claim where the customer requested $100,000.00 in damages founded on accusations of breach of fiduciary duty concerning Birkinbine’s private placements when he was employed by Ausdal Financial Partners. Financial…

James Andrew Geake (also known as Jim Geake) of Skokie, Illinois, a stockbroker formerly registered with Madison Avenue Securities, is referenced in a customer initiated investment related FINRA arbitration claim which was settled for $450,000.00 in damages supported by accusations of unsuitable recommendations by Geake regarding alternative investments, including Hospitality Investors Trust, during the time…

William Michael Robertson of Deer Park, Texas, a stockbroker formerly registered with First Allied Securities Inc., is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer sought $100,000.00 in damages based upon allegations of negligence and breach of contract in regard to real estate security transactions executed by Robertson during…

Kirby Spencer McDonald, of Omaha, Nebraska, a stockbroker formerly registered with Cetera Advisors LLC, is identified in a customer initiated investment related FINRA securities arbitration claim in which the customer sought $100,001.00 in damages founded on accusations of unsuitable recommendations by McDonald regarding real estate security transactions when McDonald was associated with Cetera Advisors. FINRA…

James J. Mariani, of Mineola, New York, a stockbroker formerly registered with Aegis Capital Corp, is identified in a customer initiated investment related FINRA securities arbitration claim in which the customer requested $291,100.00 in damages founded on accusations that Mariani provided unsuitable investment recommendations to the customer to purchase non traded real estate securites while…

Jorge Luis Alfonso, of Miami, Florida, a stockbroker formerly registered with Infinex Investments Inc., is identified in a customer initiated investment related FINRA securities arbitration claim where the customer sought between $50,000.00 and $100,000.00 in damages founded on accusations of breach of fiduciary duty as it pertained to Northstar Financial Services Bermuda products when Alfonso…

David Joseph Campanella, of Cleveland, Ohio, a stockbroker formerly registered with US Bancorp Investments Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Campanella falsified information in a FINRA investigation concerning accusations of his involvement in undisclosed financial accounts while registered with US…

William Charles Burks (also known as Bill Burks II), of Flower Mound, Texas, a stockbroker currently registered with Centaurus Financial Inc., is the subject of a customer initiated investment related FINRA securities arbitration claim that was settled for $20,000.00 in damages founded on accusations of breach of fiduciary duty by Burks regarding a real estate…

Shaun Evan Stein, of Jersey City, New Jersey, a stockbroker currently registered with National Securities Corp, is identified in a customer initiated investment related FINRA securities arbitration claim that was resolved for $20,000.00 in damages based upon allegations of unsuitable recommendations by Stein in regard to a private placement, real estate security, and over-the-counter equity…

Kurt Anthony Stein of New York, New York, a stockbroker formerly registered with National Securities Corporation, is the subject of a customer initiated investment related arbitration claim where the customer sought $300,000.00 in damages based upon accusations of unsuitable investment recommendations concerning non-traded Real Estate Investment Trusts or REITs while Stein was employed by National…

Jonathan David Cummings, of Hurst, Texas, a stockbroker formerly registered with Securities America Inc. and Investacorp Inc., is identified in a customer initiated investment related FINRA securities arbitration claim in which the customer requested $35,000.00 in damages based upon accusations of negligence as it pertained to alternative investments, including a real estate security transaction effected…

Matthew Gates, of New York, New York, a stockbroker formerly registered with Joseph Gunnar Co. LLC, is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested compensatory damages supported by accusations of unsuitable purechases of real estate security products by Gates while he was employed by Joseph…

Rebecca King Wah Ng-Tsang, of Bellevue, Washington, a stockbroker formerly registered with Cetera Investment Services LLC, is the subject of a customer initiated investment related written complaint on November 21, 2021, in which the customer requested compensatory damages founded on allegations that Ng-Tsang made misrepresentations to them regarding real estate security products while she was…

Michael Carleton Boothe (also known as Carleton M. Boothe), a stockbroker formerly registered with International Assets Advisory LLC, is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer sought more than $5,000.00 in damages supported by allegations of Boothe’s breach of contract and negligence relating to direct investments, including limited…

Gilberto Briseno (also known as Gilbert Briseno), of Boutte, Louisiana, a stockbroker formerly registered with LPL Financial LLC, is identified in a customer initiated investment related written complaint on June 4, 2021, in which the customer requested $13,000.00 in damages based upon accusations of losses caused by unsuitable trading of closed-end funds and real estate…

Kirk Badii, of Los Angeles, California, a stockbroker formerly registered with UBS Financial Services Inc., is referenced in a customer initiated investment related FINRA securities arbitration claim in which the customer requested $3,000,000.00 in damages supported by accusations of mismanagement and unsuitable recommendations concerning alternative investments while Badii was associated with UBS Financial Services. Financial…

Theodore Hendrickus Franse (also known as Ted Franse), of Fair Oaks, California, a stockbroker formerly registered with Independent Financial Group, is identified in a customer initiated investment related, FINRA Securities Arbitration claim in which the customer sought $9,500.00 in damages based upon accusations that they were sold unsuitable REITs by Franse when he was registered…

Michael Scott Androulakis (also known as Mike Andrews), of New York, New York, a stockbroker currently registered with Alexander Capital LP, is identified in a customer initiated investment related, FINRA Securities Arbitration claim which was settled for $8,000.00 in damages supported by accusations of Androulakis’ breach of contract and negligence concerning a non-traded real estate…

Daniel George McPherson (also known as Dan McPherson), of Idaho Falls, Idaho, a stockbroker formerly registered with Cetera Advisors LLC, is the subject of a customer initiated investment related FINRA Securities Arbitration claim which was resolved for $57,500.00 in damages supported by accusations of McPherson making unsuitable recommendations to the customer regarding private placements, real…

Shimshon Plotkin (also known as Shim Plotkin), of Chevy Chase, Maryland, a stockbroker currently registered with Independent Financial Group LLC, is the subject of a customer initiated investment related FINRA Securities Arbitration claim in which the customer requested compensatory damages supported by allegations that they were sold unsuitable investments including real estate investment trusts (non-traded…

Marc Frederick Korsch, of Sarasota, Florida, a stockbroker formerly registered with Centaurus Financial Inc., has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that he failed to cooperate with FINRA’s request for information about his activities. Case No. 2020066487801 (December 27, 2021). FINRA Public Disclosure…

Johnny Guan, of Red Bank, New Jersey, a stockbroker currently registered with Aegis Capital Corp, is the subject of a customer initiated investment related FINRA securities arbitration claim where the customer requested $125,820.12 in damages supported by accusations that between December of 2012 and November of 2020, Guan provided unsuitable investment recommendations to the customer…

James Marten Lamont, of San Francisco, California, a stockbroker formerly registered with Whitehall Parker Securities Inc., is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer sought $100,000.01 in damages supported by accusations that Lamont provided unsuitable recommendations to them as it pertained to real estate security products…

Heath Geoffrey Grossman, of Weathersfield, Connecticut, a stockbroker formerly registered with Silver Oaks Securities and investment adviser representative registered with JB Capital LLC, is referenced in a customer initiated investment related AAA arbitration claim where the customer requested $30,000.00 supported by allegations of Grossman’s failure to consider tax consequences in a customer’s investment plan which…

Austin Richard Dutton Jr. (also known as Austin Richard Duttin), of Doylestown, Pennsylvania, a stockbroker formerly registered with Newbridge Securities Corporation, is referenced in a customer initiated investment related FINRA securities arbitration claim in which the customer sought $100,001.00 in damages based upon allegations that Dutton breached a fiduciary duty and breached a contract relating…

Christopher Thomas Hildebrandt, of Cape May Court House, New Jersey, a stockbroker formerly registered with Principal Securities Inc., is referenced in a customer initiated investment related written complaint on April 5, 2021, where the customer sought compensatory damages founded on allegations of Hildebrandt’s unsuitable recommendations of real estate investment trusts during the time that he was…

Richard Anthony Rodriguez, of Fruitland Park, Florida, a stockbroker formerly registered with Concorde Investment Services LLC, is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested $500,000.00 in damages founded on allegations that omissions and misrepresentations about alternative investments had been made by Rodriguez while he was…

William Colie Johnson, of Greenville, South Carolina, a stockbroker formerly registered with Voya Financial Advisors Inc., is referenced in a customer initiated investment related civil action where the customer sought compensatory damages founded on accusations of the customer being sold unsuitable alternative investments because of Johnson during the time that he was associated with Voya…

John R. Mateyko, of Rolling Meadows, Illinois, a stockbroker formerly registered with World Equity Group, Inc., is identified in a customer initiated investment related FINRA securities arbitration claim where the customer sought $500,000.00 in damages based upon allegations that Mateyko made misrepresentations regarding business development programs and real estate investment trusts between 2014 and 2018…

David Lawrence Poulnot, of Daniel Island, South Carolina, a stockbroker currently registered with Lincoln Financial Securities Corporation, is referenced in a customer initiated investment related written complaint on March 2, 2020, where the customer sought compensatory damages founded on accusations of Poulnot failing to disclose the illiquidity of a real estate investment trust purchased by…

Danny Jerome Young (also known as Danny Young), of Adel, Georgia, a stockbroker formerly registered with Voya Financial Advisors Inc., is identified in a customer initiated investment related FINRA securities arbitration claim in which customers requested $800,000.00 in damages based upon accusations that Young sold unsuitable real estate securities while he was registered with Voya…

Philip Anthony Simone, of Costa Mesa, California, a stockbroker formerly registered with Centaurus Financial Inc., is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer requested $100,001.00 in damages based upon accusations of their account being overconcentrated in complex, risky, and high-commission real estate securities while Simone was registered with…

Eric Peter Weschke, of Setauket, New York, a stockbroker currently registered with Kalos Capital Inc., is identified in a customer initiated investment related FINRA securities arbitration claim in which the customer sought $138,000.00 in damages founded on accusations of negligence and unsuitable alternative investment transactions by Weschke during the time that he was associated with…

Joseph Patrick Roop (also known as Joepat Roop), of Belmont, North Carolina, a stockbroker formerly registered with Kalos Capital Inc., is the subject of a customer initiated investment related written complaint on August 5, 2021, where the customer sought compensatory damages supported by allegations of unsuitable investment recommendations of real estate security products by Roop…

Donna Jean Hines (also known as Donna Jean Atchison) of Clarksburg, West Virginia, a stockbroker formerly employed by Cetera Advisors LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded upon findings that Hines failed to cooperate with an investigation into accusations of her outside activities, including…

Cataldo Panici (also known as Carlo Panici), of Frankfort, Illinois, a stockbroker currently registered with Wintrust Investments LLC, is the subject of a customer initiated investment related FINRA securities arbitration claim where the customer sought $150,000.00 in damages based upon accusations that Panici failed to meet his fiduciary duty in reference to non-traded real estate…

Xiangyu Yu Zhang of Arcadia, California, a stockbroker formerly registered with Cetera Investment Services LLC, is referenced in a customer initiated investment related complaint on August 6, 2021, where the customer sought compensatory damages founded upon allegations that Zhang provided unsuitable recommendations to the customer regarding real estate security investments while he was employed by…

Robert C. Fross, of The Villages, Florida, a stockbroker formerly registered with SII Investments Inc., is referenced in a customer initiated investment related FINRA securities arbitration claim which was settled for $14,999.00 in damages supported by allegations that the customer was placed into an unsuitable real estate investment trust by Fross during the time that…

JeanPierre Ayala (also known as JP Ayala) of Boca Raton Florida a stockbroker formerly registered with Laidlaw Company (UK) Ltd. is the subject of a customer initiated investment related FINRA securities arbitration claim where the customer sought $100,000.00 in damages founded upon accusations that Ayala sold unsuitable investments, including private placements, stocks, and over-the-counter equities…

Mark Sam Kolta of New York New York a stockbroker formerly registered with National Securities Corporation is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer sought compensatory damages based on accusations of them being placed into unsuitable real estate security products by Kolta when he was employed by National…

Steven Paul Colacurcio (also known as Steve Colacurcio) of Boca Raton Florida a stockbroker formerly registered with Dawson James Securities Inc. is the subject of a customer initiated investment related FINRA securities arbitration claim where the customer sought $35,000.00 in damages supported by allegations that they were not made aware by Colacurcio of the fees…

Dustin Paul Shafer of Springfield Illinois a stockbroker formerly registered with Money Concepts Capital Corp is referenced in a customer initiated investment related FINRA securities arbitration claim in which the customer sought $150,000.00 in damages supported by accusations of unsuitable direct participation program interests and limited partnership interests for their account during the time that…

Norman Arnold Robbins (also known as Norman Arnold Rosenberg) of Boca Raton Florida a stockbroker formerly registered with Summit Brokerage Services is referenced in a customer initiated investment related FINRA securities arbitration claim in which the customer sought $100,000.00 in damages supported by accusations of an overconcentration of their account in commodity funds, real estate…

David Michael Lademan of Okemos Michigan a stockbroker formerly registered with Kalos Capital Inc. is referenced in a customer initiated investment related written complaint on August 18, 2021, in which the customer requested compensatory damages founded on allegations of false statements and omissions relating to business development company (BDC), real estate security (REIT), equipment leasing,…

Steven Andrew Greer (also known as Andrew Greer) of Charlotte North Carolina a stockbroker formerly registered with GF Investment Services is the subject of a customer initiated investment related FINRA securities arbitration claim on September 3, 2020, in which the customer sought compensatory damages founded on accusations that alternative investments had been recommended by Greer…

Dawn Alison Strachan (also known as Dawn Alison Osogwin and as Dawn Allison Osogwin) of Torrance California a stockbroker formerly registered with Questar Capital Corporation is the subject of a customer initiated investment related FINRA securities arbitration claim where the customer sought $999,999.00 in damages based on accusations of Strachan’s unsuitable recommendations regarding private placements…

Brian Michael Jackson of Tarrytown New York a stockbroker formerly registered with David Lerner Associates Inc. is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested $101,000.00 in damages supported by accusations of them being sold an unsuitable real estate security and mutual fund by Jackson during…

Michael J. Haffling of Chicago Illinois a stockbroker currently registered with Kalos Capital Inc. and Kalos Management is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer requested more than $100,000.00 in damages founded on allegations of negligence and breach of fiduciary duty concerning real estate security transactions by Haffling…

Glennon James Cole (also known as Glen James Cole) of Manchester Missouri a stockbroker formerly registered with Moloney Securities Co. Inc. is referenced in a customer initiated investment related FINRA securities arbitration claim in which the customer requested $400,000.00 in damages based on accusations that they were placed into unsuitable real estate securities and direct…

Mark Andrew Trewitt of Plano Texas a stockbroker formerly registered with VFG Securities Inc. is the subject of a customer initiated investment related written complaint on October 15, 2020 where the customer requested $4,000,000.00 in damages based on accusations that unsuitable alternative investments were recommended by Trewitt while he was associated with VFG Securities as…

Jonathan Todd Pyne of Plymouth Minnesota a stockbroker currently registered with Berthel Fisher Company Financial Services Inc. has been referenced in a customer initiated investment related FINRA securities arbitration claim in which the customer requested $116,000.00 in damages based upon accusations of misrepresentation relating to their investments in real estate securities while Pyne was associated…

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