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Broker James Monken Subject of Two Customer Disputes

James Eric Monken (CRD#:5765921) is a registered broker and investment advisor at Morgan Stanley in Clayton, MO. Broker’s Background He entered the securities industry in 2010 and previously worked for Morgan Keegan & Company, Inc. Current and Past Allegations Leading to Investment Loss According to publicly available records released by the Financial Industry Regulatory Authority […]

Broker William Seibert Allegedly Recommended Unsuitable Investments

William Colin Seibert (CRD#: 2710335) is a registered broker and investment advisor at Raymond James & Associates, Inc., in Houma, LA. Broker’s Background He entered the securities industry in 1996, and previously worked for Bank United Securities Corp.; Pritchard Capital Partners, LLC (FINRA expelled the firm in 2012); Wells Fargo Brokerage Services, LLC; Wells Fargo […]

Financial Advisor James Margraf Subject to Customer Complaints

James Ward Margraf (CRD#: 6517554) is a registered investment Advisor at Latour Asset Management LLC in Springfield, MO. He is also a previously registered broker. Broker’s Background He entered the securities industry in 2015 and previously worked for Gradient Advisors, LLC, and Center Street Securities, Inc. Current Allegations of Conduct Leading to Investment Loss According […]

Scott W. Reed Barred by the SEC and FINRA for Selling Away

Scott W. Reed (CRD#: 3007033) is a previously registered investment advisor and broker. Broker’s Background He entered the securities industry in 2008 and previously worked for Strategic Advisers, Inc.; Ashton Thomas Private Wealth, LLC; Wells Fargo Clearing Services, LLC; and First Financial Equity Corporation. Allegations of Misconduct According to publicly available records released by the […]

Investment Advisor Shawn Sokolosky Disclosed SEC Imposed Suspension

Shawn Duane Sokolosky (CRD#: 2507013) is a registered investment advisor at Pollux Wealth Management in Wichita, KS. Broker’s Background Shawn Sokolosky entered the securities industry in 1994 and previously worked for The O.N. Equity Sales Company; Dimensions-Financial Consultants, Inc.; Dimensions Financial Group; and Frontier Wealth Management, LLC. Allegations of Misconduct According to publicly available records […]

Investment Advisor Dharmesh Vora Subject To Several Complaints Involving Structured Notes

Dharmesh Virenda Vora (CRD: 2629494) is a registered investment advisor at Vora Wealth Management, PLLC in Flagstaff, AZ. Broker’s Background Dharmesh Vora entered the securities industry in 2009 and has previously worked for Global Financial Private Capital, LLC, and North Harbor Advisers. What are Auto-callable Structured Notes Auto-call Notes are market-linked investments that offer a […]

Silver Star Properties REIT – INVESTMENT LOSS RECOVERY OPTIONS

The Story Behind Real Estate Investment Trusts and the Silver Star REIT   The Wolper Law Firm is currently investigating claims for those clients who have experienced investment loss in the Silver Star Properties Non-Traded Real Estate Investment Trust.  Non-Traded Real Estate Investment Trusts (“Non-traded REITs”) do not trade a public securities exchange.  For this […]

Wolper Law Firm Files FINRA Arbitration Claim Against Citigroup Involving the Sale of Auto-callable Structured Notes

The Wolper Law Firm has filed a FINRA arbitration claim against Citigroup Global Markets, Inc. (Citigroup) arising from the sale of Auto-callable Structured Notes.  The Financial Advisor responsible for the recommendations is Jorge Menendez (CRD #5138358).   Broker’s Background     Jorge Menendez has been registered with Citigroup as a Financial Advisor since 2013.  He […]

SEC Sanctions Registered Broker Michael Murray for Violating Regulation Best Interest

Michael Joseph Murray (CRD#:5034449) is a registered broker at LaidLaw & Company (UK) LTD., in New York, NY. Broker’s Background He entered the securities industry in 2005 and previously worked for Casimir Capital L.P.; and Aegis Capital Corp. Allegations of Misconduct According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in […]

SEC Suspends Broker Richard Michalski for Violating Regulation Best Interest

Richard G. Michalski (CRD#: 4588706) is a registered broker for LaidLaw & Company (UK) Ltd., in New York, NY. Broker’s Background Richard Michalski entered the securities industry in 2002 and previously worked for Kuhns Brothers Securities Corporation; Casimir Capital L.P; and Aegis Capital Corp. Allegations of Misconduct According to publicly available records released by the […]