The securities fraud attorneys at Malecki Law are interested in investigated possible claims on behalf of investors who have complaints regarding former stockbroker Manuel Dopazo. According to his BrokerCheck report maintained by the Financial Industry Regulatory Authority (“FINRA”), Mr. Dopazo has been the subject of multiple customer disputes in just…
Articles Posted in FINRA
BROKER REPORT: Over Ten Customer Complaints Against Michael Fasciglione
The securities fraud attorneys at Malecki Law are interested in hearing from investors who have complaints against stockbroker Michael Fasciglione. Mr. Fasciglione is believed to be registered with National Securities Corporation, based out of Mineola, NY. He has also recently been registered with Oppenheimer & Co. and First Montauk Securities,…
BROKER REPORT: Churning Complaints Regarding Dwarka Persaud
The securities fraud attorneys are interested in hearing from investors with complaints involving Dwarka Persaud. Per his BrokerCheck Report, maintained by the Financial Industry Regulatory Authority (“FINRA”), Mr. Persaud is a registered stock broker with Buckman, Buckman & Reid, based out of Shrewsbury, NJ. Mr. Persaud’s BrokerCheck Report indicates that…
Former Caldwell Broker, Richard Adams, Barred by FINRA for Churning Customer Accounts
Per Financial Industry Regulatory Authority’s (FINRA) announcement this week, a former registered representative of Caldwell International Securities Corp., Richard Adams aka Rasheed Aree Adams, has been barred permanently from the securities industry for churning customer accounts, other securities violations, and failure to report many unsatisfied judgments and liens on his…
Malecki Law Announces Investigation into Dennis C. Lee, Former AXA Advisors Broker
Malecki Law is investigating potential claims by investors relating to Dennis C. Lee, a former AXA Advisors, LLC broker who was recently terminated by the firm in April 2015. According to Mr. Lee’s publicly available Financial Industry Regulatory Authority (FINRA) BrokerCheck report, he was “discharged for failing to disclose financial…
Former Park Avenue Securities, LLC Broker Robert Michael Diehl Suspended by FINRA
Beware of alternative investments. A Letter of Acceptance, Waiver and Consent (AWC) was recently accepted by the Financial Industry Regulatory Authority’s (FINRA’s) Department of Enforcement from Robert Michael Diehl. Mr. Diehl was accused of bypassing firm policy in order to sell equity indexed annuities (“EIAs”) while a registered representative of…
Aegis Capital Fined By FINRA; Senior Management Suspended
FINRA has announced that it has fined Aegis Capital Corp. $950,000 for sales of unregistered penny stocks and anti-money laundering violations. According to FINRA, this fine was also related to supervisory failures within the firm. The firm was not the only one that FINRA appears to have come down hard…
Broker Brian Berger Barred From Securities Industry Over Questions Concerning Misappropriation of Customer Funds
According to a recent Acceptance, Waiver & Consent (“AWC”) submitted by broker Brian Berger with the Financial Industry Regulatory Authority (FINRA), Mr. Berger has been banned from associating with a broker-dealer in the securities industry. According to the AWC, in June 2015 FINRA “initiated an investigation into allegations that Mr.…
Former Securities America, Inc. Broker Adrian S. Lauer Suspended and Fined
A Letter of Acceptance, Waiver and Consent (AWC) was recently accepted by Financial Industry Regulatory Authority’s (FINRA’s) Department of Enforcement from Adrian S. Lauer. Mr. Lauer was accused of failing to disclose outside business activities on his Form U4 and to his employer. Specifically, Mr. Lauer was accused of violating FINRA…
Top Broker Thomas Buck: First Fired, Now Barred
According to a Letter of Acceptance Waiver and Consent filed with the Financial Industry Regulatory Authority (“FINRA”), Thomas Buck has been barred by FINRA from working with any FINRA member firms. Mr. Buck was a former top broker at Bank of America Merrill Lynch and was at the time a…