A National Securities Arbitration & Investment Fraud Law Firm

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Securities Arbitration Attorneys Our FINRA arbitration lawyers work with investors to recover losses caused by securities fraud, investment fraud, and other kinds of stockbroker misconduct.
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Cory Bataan (CRD #2755223) has been employed with Emoire Asset Management Company since April 2008. Previous employment includes Empire Asset Management Company from April 2008 to August 2012, Ameritas Investment Corp. from December 2007 to April 2008 and Joseph Stevens & Company, Inc. from October 1996 to July 2001.

According to the FINRA BrokerCheck, there have been complaints against Mr Bataan.

Churning-Other-Allegations-Made-Against-Broker-Michael-Doyle-300x200In 2015, while employed by Aegis Capital Corp., Claimant alleges unsuitable recommendations and excessive fees & commissions.  Complaint was settled for $25,000.00.

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Nick Son (CRD #1178523) has been employed with Aegis Capital Corp since August 2014 and was also registered with Aegis from March 2010 to April 2011.  Previous employment includes Alexander Capital, L.P. from March 2012 to August 2014, WTS Proprietary trading Group LLC from December 2011 to June 2012, Gunnallen Financial, Inc. form July 2002 to March 2010, Investprivate, Inc. from June 2001 to July 2002, Josephthal & Co., Inc. from July 1998 to May 2001, JW Charles Securities, Inc. from May 1997 to August 1997, Whale Securities Co., L.P. from September 1996 to May 1997 and State Capital Markets Corporation from December 1995 to September 1996.

According to the FINRA BrokerCheck, there have been complaints against Nick Son.

Margin-Account-Guidelines-300x200In 1996, while employed by State Capital Markets Corporation, Client alleges the stock offering from Cable and Fun Tyme were not registered in Texas; The sale of non-registered stock is a violation of Texas State securities Act 7A and is therefore illegal.  Complaint was settled for $14,500.00.

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Anthony Sica (CRD #1332626) has been employed by Joseph Gunnar since November 2003.  Previous employment includes Wachovia Securities, LLC from January 2001 to October 2003, Prudential Securities Incorporated from April 1993 to January 2001, Lehman Brothers Inc. from August 1985 to April 1993 and McLaughlin, Piven, Vogel Inc. from January 1985 to August 1985.

According to the FINRA BrokerCheck, there have been complaints against Anthony Sica.

Leon-Vaccarelli-Fined-and-Sanctioned-by-FINRA-300x199-1-300x199In 2017, while employed by Joseph Gunnar, allegations shown without admitting or denying the findings, Sica consented to the sanctions and to the entry of findings that he made unsuitable recommendations to an elderly customer living on a fixed income.  The findings stated that Sica repeatedly recommended that the customer purchase high-risk, speculative securities that were inconsistent with her investment profile.  Sica’s recommendations often resulted in an undue concentration of the customer’s account, which represented substantially all of her liquid assets, in speculative securities. Further, Sica often engaged in short-term in-and-out trading of the speculative investments in the customer’s accounts causing substantial losses. Sica’s recommendations resulted in losses of more than $150,000. The findings also stated Sica engaged in unauthorized trading by placing trades in the IZRA accounts of a customer who Sica knew was deceased causing aggregated losses on the trades totaling approximately $3,039.

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George Mathis (CRD #4271854) has been employed with Raymond James & Associates since November 2011. Previous employment included Wells Fargo Advisors, LLC from January 2008 to November 2011, Wachovia Securities, LLC from January 2008 to May 2009 and A. G. Edwards & Sons, Inc. from November 2000 to January 2008.

According to the FINRA BrokerCheck, there have been complaints against George Mathis.

Allegations-of-Sales-Practice-Violations-Cloud-Broker-Kenneth-Dlouhy-‘s-Record-300x200In 2016 while employed by Raymond James & associates, Inc., Client alleges unsuitably, misrepresentation, omissions, breach of fiduciary duty, violations of NASD Conducts Rule 301(A), Conduct Rule 2010, FINRA Conduct Rule 2010, FINRA Rule 2111, Negligence, and breach of contract and vicarious liability. The activity date is 9/03/2013 through 1/28/2016. The complaint settled for $70,000.00.

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John Maloney (CRD #726108) has been employed by Woodbury Financial Services Inc. since June 2016. Maloney was previously employed by Edward Jones from January 1981 to June 2016.

According to the FINRA BrokerCheck, there have been several complaints against Mr. Maloney.

Timothy-DiBlasi-Under-FINRA-Scrutiny-for-Lack-of-Compliance-Supervision-300x200 In 2016 Claimants allege Mr. Maloney’s recommendations to purchase individual equities were unsuitable. The complaint settled for $132,500.

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Douglas Leone (CRD #2453784) has been employed with Salomon Whitney Financial since March 2013.  Previous employment includes Newport Coast Securities, Inc. from October 2008 to March 2013 and Basic Investors Inc. from August 2005 to October 2008.

Leon-Vaccarelli-Fined-and-Sanctioned-by-FINRA-300x199-1-300x199Leone was barred from association with any FINRA member in all capacities. The sanctions were based on findings that Leone failed to attend an on-the-record interview during an investigation by FINRA.  The findings stated that FINRA opened an investigation into Leone’s potential unsuitable recommendations and excessive trading in customer accounts.  FINRA twice requested that Leone appear at an on-the-record interview to provide testimony.

The decision became final May 21, 2018.

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John Galinsky (CRD #1513926) has been employed with First Dominion Capital since November 2017. Previous employment includes National Securities Corporation from January 2012 to November 2017, Fintegra LLC from January 2010 to December 2011 and Advanced Equities from November 1999 to October 2009.

Leon-Vaccarelli-Fined-and-Sanctioned-by-FINRA-300x199-1-300x199Galinsky was fined $7,500 and suspended from association with any FINRA member in all capacities for 10 business days. Without admitting or denying the findings, Galinsky consented to the sanctions and to the entry of findings that he sent emails to prospective and current investors that were not fair and balanced and did not provide a sound basis for evaluating the facts regarding a company involved in a private securities offering or the offering itself. The findings stated that on two occasions, Galinsky forwarded an email to a customer, which removed references to a patent infringement lawsuit that had recently been filed against the company involved in the offering. By doing so, Galinsky caused his email to be misleading, in that it appeared to forward the entire email that he had received when, in fact, it did not.

The suspension was in effect from May 21, 2018, through June 4, 2018.

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David Krumrey (CRD #4121845) was employed by Oppenheimer & Co, Inc. from March 2009 through September 2017. Previous employment included Stanford Group Company from January to March 2009 and Merrill Lynch, Pierce, Fenner & Smith Inc. from March 2000 to Jan 2009.

Stephen-Grivas-Permanently-Barred-by-FINRA-300x210Krumrey is barred from association with an FINRA member in any capacity.  Respondent failed to request termination of his suspension within three months of the date of the Notice of Suspension; therefore, he is automatically barred from association with any FINRA member in any capacity.

Contact Our Firm if You’ve Invested with David Krumrey

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Vicente Davila (CRD #4419824) was employed by Morgan Stanley from April 2016 through February 2018. Previous employment included Merrill Lynch, Pierce, Fenner & Smith Inc. from November 2009 to May 2016 and Barclays Capital Inc. from April 2002 to September 2002.

Zachary-Bader-Suspended-After-Multiple-Allegations-of-Churning-300x232Davila was suspended on April 27, 2018, from associating with any FINRA member firm in any capacity.  If Davila fails to request termination of the suspension within three months of the date of the Notice of Suspension, he will automatically be barred on July 6, 2018, from association with any FINRA member in any capacity pursuant to FINRA Rule 9552 (h).

Contact Our Firm if You’ve Invested with Vicente Davila

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Abern-Barred-by-FINRA-for-Failing-to-Cooperate-200x300Steven Pagartanis (CRD #1958879) was employed by Lombard Securities Inc. from September 2017 through March 2018. Previous employment included Cadaretm Grant & Co, Inc. from September 2012 to March 2017 and Woodbury Financial Services, Inc. from August 2011 to September 2012.

Pagartanis was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Pagartanis consented to the sanction and to the entry of findings that he refused to appear for FINRA on-the-record testimony in connection with an investigation of allegations that he made fraudulent misrepresentation to customers and misappropriated customers’ funds.

Contact Our Firm if You’ve Invested with Steven Pagartanis

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