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Former Worden Capital Management and National Securities Corporation Investment Advisor Mark Sam Kolta Charged with Nearly $4 Million in Customer Claims

On December 29, 2022, FINRA filed a complaint against Mark Sam Kolta, alleging that, from June 2014 through August 2015, Kolta, while associated with former FINRA member, National Securities Corporation, made unsuitable recommendations to 16 customers to more than $4.8 million in shares of a non-traded real estate investment trust (REIT). 

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Former Independent Financial Group Stockbroker and Investment Adviser John P. Mendes Barred From the Securities Industry for Insider Trading Violations

John P. Mendes (CRD #5409060) was a previously registered FINRA broker and investment adviser associated with Independent Financial Group. On December 19, 2022, the Securities and Exchange Commission (SEC) barred Mendes from acting as a broker or investment adviser and engaging in certain activities following the commission’s investigation into insider trading allegations. 

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Oppenheimer & Co. Inc. Investment Advisor Gregory Baines Iglow Charged with Claims of Unsuitability, Fraud, Breach of Contract, and Other Misconduct

By: Reif Law Group, P.C.

Gregory Baines Iglow (CRD # 2783963) is a FINRA-registered broker and investment advisor with Oppenheimer & Co. Inc. and was formally employed by RBC Dain Rauscher Inc., Prudential Securities Incorporated, and M.L. Stern & Co., LLC. Iglow has been involved in multiple customer disputes from 2003 to...

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Cetera Advisor Networks LLC Broker Lawrence Ira Goldstein Charged with Approximately $1.6 Million in Customer Claims

By: Reif Law Group, P.C.

Cetera Advisor Networks Lawsuit

Lawrence Ira Goldstein (CRD #  733924) is a FINRA-registered broker and investment advisor with Cetera Advisor Networks in Los Angeles and was formally employed by Oppenheimer & Co. Inc., Oppenheimer Asset Management, Fahnestock Asset Management, and PaineWebber Incorporated. Goldstein...

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