Investors depend on financial professionals for guidance that matches their goals and risk tolerance. However, some only realize after the fact that they were directed into riskier investments than expected. If a recommendation leads to significant losses, it is important to know that legal options for recovery may be available. If you believe you were [...]
Current FINRA BrokerCheck records show that Dimitrios Michelis (CRD# 2920152), a former broker with UBS Financial Services Inc. in New York, is the subject of two significant pending customer disputes. These claims, filed in August 2025, involve staggering requested damages totaling nearly $5.8 million and center on the recommendation and sale of Real Estate Investment [...]
FINRA BrokerCheck records reveal a significant pending customer dispute involving Todd Anthony Cirella (CRD #2396336), a registered representative with Laidlaw & Company (UK) Ltd. in New York, New York. In this recent claim, a customer alleges that after being advised to sign offering documents, the investments were later determined to be illiquid and unsuitable. The [...]
FINRA BrokerCheck records reveal a significant pending customer dispute involving William Brian Candler (CRD #2802438), a financial professional dually registered with JCC Capital Markets, LLC and Cabin Securities, Inc. in Overland Park, Kansas. In a claim filed recently, investors are seeking $3.4 million in damages. The dispute centers on a Regulation D (Reg D) private [...]
FINRA BrokerCheck records indicate a pending customer dispute involving Igor “Gary” Harlap (CRD #3125590), a registered representative with UBS Financial Services Inc. in Philadelphia, Pennsylvania. The claim, filed on December 30, 2025, marks a significant development for investors who worked with Mr. Harlap. The claimants allege that in 2025, Harlap improperly recommended a concentrated position [...]
If your investment accounts are shrinking, your advisor has gone quiet, or your portfolio feels like a ship sailing without a compass, you may be asking a critical question: Can I sue my financial advisor? Yes, under the right circumstances. Investment losses alone are not grounds for a claim—markets rise and fall. However, when losses [...]
In a recent enforcement action, the Financial Industry Regulatory Authority (FINRA) sanctioned a broker-dealer for violations tied to Regulation Best Interest (Reg BI), the federal standard requiring brokers to act in the best interests of retail investors. The case illustrates a recurring theme in regulatory enforcement: when supervision weakens, investor risk rises. According to public [...]
Regulators do not suspend four-decade veterans lightly. When they do, it commonly signals a failure to adapt to modern investor safeguard standards. A recent enforcement action by the Financial Industry Regulatory Authority (FINRA) highlights a costly trend: long-tenured advisors using outdated commission structures that violate Regulation Best Interest (Reg BI). The Enforcement Action According to [...]
A recent disciplinary action by the Financial Industry Regulatory Authority (FINRA) has resulted in sanctions against Taglich Brothers Inc. (CRD #29102) for violations of Regulation Best Interest (Reg BI), Form CRS requirements, and supervisory control obligations. The settlement shows the critical importance of transparency, conflict management, and firm supervision in protecting retail investors. According to [...]
The Financial Industry Regulatory Authority (FINRA) has barred former securities representative Jeyakumar Nadarajah (CRD #5666532) from associating with any FINRA member firm in all capacities after he failed to fully comply with a request for testimony during a regulatory investigation. This action highlights the importance of full cooperation with FINRA Rule 8210 requests, which require [...]
