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…

Vincent Anthony Virga of Bayonne, New Jersey, a stockbroker formerly registered with Madison Avenue Securities, is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer sought $150,000.00 in damages founded on allegations that the customer received unsuitable investment recommendations from Virga concerning alternative investments while Virga was associated with Madison…

Noel Ray Vincent of Houston, Texas, a stockbroker formerly registered with Madison Avenue Securities LLC, is identified in a customer initiated investment related FINRA securities arbitration claim in which the customer requested between $100,000.00 and $500,000.00 in damages based upon allegations of unsuitable recommendations by Vincent when he was associated with Madison Avenue Securities. Financial…

IBN Financial Services Inc., a securities broker-dealer headquartered in Liverpool, New York, has been censured and fined $45,000.00 by Financial Industry Regulatory Authority (FINRA) supported by findings that IBN negligently omitted information to customers in connection with GPB Capital Offerings. Letter of Acceptance, Waiver, and Consent No. 2019061214401 (April 14, 2022). According to the AWC,…

Geneos Wealth Management, a securities broker dealer headquartered in Centennial, Colorado, has been censured and fined $150,000.00 by Financial Industry Regulatory Authority (FINRA) based upon allegations that it failed to supervise alternative investment transactions, resulting in losses to Geneos Wealth Management customers. Letter of Acceptance, Waiver, and Consent No. 2019061764701 (March 18, 2022). According to…

Dempsey Lord Smith, a securities broker dealer headquartered in Rome, Georgia, has been censured and fined $70,000.00 by Financial Industry Regulatory Authority (FINRA) supported by findings that it made unsuitable investment recommendations and failed to tell investors adverse information about GPB Capital Holdings LLC. Letter of Acceptance, Waiver, and Consent No. 2019061213901 (March 21, 2022)….

Gerald James O’Halloran of Punta Gorda, Florida, a stockbroker currently registered with Union Capital Company, 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 of O’Halloran’s unsuitable recommendations to the customer concerning business development companies (BDCs) and limited partnerships (LPs)…

Luke Michael Johnson of Scottsdale, Arizona, a stockbroker formerly registered with Coastal Equities Inc., is the subject of a customer initiated investment related FINRA securities arbitration claim where the customer requested $200,000.00 in damages supported by accusations of Johnson made unsuitable recommendations to the customer concerning real estate securities and direct investments, including direct participation…

Marshall Owen Isaacson of Boca Raton, Florida, a stockbroker formerly registered with Newbridge Securities Corporation, is the subject of a customer initiated investment related FINRA arbitration claim where the customer sought $75,000.00 in damages founded on allegations of negligence, breach of contract, and breach of fiduciary duty by Isaacson in regard to alternative investment transactions,…

Arni Jay Diamond (also known as Arni Jat Diamond), of Charlotte, North Carolina, a stockbroker formerly registered with Kalos Capital Inc., is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested $280,000.00 in damages founded on accusations that unsuitable real estate security transactions were effected in the…

Darren Michael Kubiak, of Alpharetta, Georgia, a stockbroker formerly registered with Kalos Capital Inc., is referenced in a customer initiated investment related FINRA securities arbitration claim in which the customer requested $1,000,000.00 in damages founded on accusations of breach of fiduciary duty and the violation of securities laws regarding preferred stock, real estate security, and…

John James Hoidas of Chicago Illinois a stockbroker formerly registered with Uhlmann Price Securities Inc. is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer sought $499,000.00 in damages based on accusations that Hoidas provided unsuitable recommendations as it pertained to private placements while he was employed by Uhlmann Price…

Noel Ray Vincent of Houston Texas a stockbroker formerly registered with Madison Avenue Securities LLC is referenced in a customer initiated investment related FINRA securities arbitration claim in which the customer requested between $100,000.00 and $500,000.00 in damages based on accusations of breach of fiduciary duty relating to direct participation program and limited partnership transactions…

Robert Scott Smith of Newberg Oregon a stockbroker formerly registered with Concorde Investment Services is the subject of a customer initiated investment related written complaint on May 10, 2021 in which the customer sought $678,500.00 in damages supported by accusations that they had been sold unsuitable private placements by Smith while he was registered with…