Articles Posted in Stockbroker Misconduct

Silver Law Group is actively investigating potential claims involving Stifel, Nicolaus broker Chuck Roberts (CRD# 2064602), a financial advisor currently employed with Stifel, Nicolaus & Company, Inc. with offices located in New York, NY and Miami Beach, FL. Roberts is currently the subject of sixteen customer-initiated arbitrations filed with the…

Stockbroker and financial advisor Chuck Roberts is the subject of sixteen pending investor complaints, according to Roberts’ FINRA record. Since 2016, Roberts has been employed by and registered with brokerage firm Stifel, Nicolaus & Company, Inc. with offices in New York, New York and Miami Beach, Florida. According to his…

Silver Law Group is investigating investor claims involving Stifel, Nicolaus & Company broker Chuck Roberts, who is currently the subject of sixteen investor complaints relating to mishandling of investors’ portfolios. Roberts, a Stifel, Nicolaus & Company broker since 2016, catered primarily to clients in Miami, Florida and New York, New…

Gianluca De Berardinis (CRD: 4893776) is a formerly registered broker last employed with Morgan Stanley Wealth Management (CRD# 149777) of New York, NY. He was previously employed briefly with Quad Capital, LLC (CRD# 148927), also of New York. He has been in the industry since 2012. De Berardinis failed to…

Marion Adams III (Marion Strickler Adams CRD# 1392435, aka “Ma’on Adams”) is a previously registered broker and investment advisor whose last employer was The Jeffrey Matthews Financial Group, L.L.C. (CRD# 41282) of Mobile, AL. His prior employers were Raymond James & Associates, Inc. (CRD# 705) and Morgan Keegan & Company,…

Paul Trimber (Paul Francis Trimber CRD# 2765260) is a former broker and investment advisor last employed with Wells Fargo Clearing Services, LLC (CRD# 19616) of Alexandria, VA. He was previously employed by Prudential Securities Incorporated (CRD# 7471) of New York, NY. He has been in the industry since 1996. Trimber…

Juan Sosa (Juan Carlos Sosa CRD# 4059846) is a former registered broker and investment advisor. His most recent employment was with Independent Financial Group, LLC (CRD# 7717) of Studio City, CA. His previous employers were Sagepoint Financial, Inc. (CRD# 133763), also of Studio City, Sunamerica Securities, Inc. (CRD# 20068) of…

According to FINRA Disciplinary actions for June 2024, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS   Gerald Cocuzzo   Newbridge Securities Corporation   IAA Financial LLC   Kevin Hobbs   PFS…

According to FINRA Disciplinary actions for June 2024, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules. However, these individuals remain bound by…

According to FINRA Disciplinary actions for June 2024, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS   James Brown…