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Author Archives: chase@carlson-law.com

John Peirano: $2 Million Complaint Against Morgan Stanley Advisor

By Chase Carlson |

Garden City, New York financial advisor John Peirano (CRD# 2900045) recently received an investor complaint alleging that his advice resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Morgan Stanley.

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Chris Dibari: PNC Advisor Receives $384K Annuity Complaint

By Chase Carlson |

Milford, Ohio financial advisor Chris Dibari (CRD# 3012315) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with PNC Investments.

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Darden Livesay: $682K Complaint Against Morgan Stanley Advisor

By Chase Carlson |

Stamford, Connecticut financial advisor Darden Livesay (CRD# 1311042) recently received an investor complaint alleging that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Morgan Stanley.

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Reza Zafari: Merrill Advisor Lands $2 Million Complaint

By Chase Carlson |

Los Angeles financial advisor Reza Zafari (CRD# 1332633) allegedly provided unsuitable advice, according to a recent, seven-figure investment complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch.

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Parviz Pourfarid: $160K Bond Complaint Against WIS Advisor

By Chase Carlson |

A recent investor complaint against Pasadena, California financial advisor Parviz Pourfarid (CRD# 2112613) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Western International Securities.

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Sarah Robinson: Supreme Alliance Advisor Fired by Avantax

By Chase Carlson |

Brewster, Massachusetts financial advisor Sarah Robinson (CRD# 4443947) was recently terminated by Avantax Investment Services in connection with an alleged rule violation. Financial Industry Regulatory Authority records show that she is now registered as a broker with Supreme Alliance.

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Michael Ginestro: $2.4mm Complaint Against Merrill Lynch Advisor

By Chase Carlson |

Los Angeles financial advisor Michael Ginestro (CRD# 2468911) recently received an investor complaint alleging that his conduct resulted in more than $2 million in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch. Mr. Ginestro’s BrokerCheck report discloses one investor complaint. Filed… Read More »

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Dan Schapiro: $50K Complaint Against Dominari, Ex-Aegis Advisor

By Chase Carlson |

New York City financial advisor Dan Schapiro (CRD# 2335244) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Dominari Securities, doing business as Gotham Equities. He was previously registered with Aegis Capital.

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Carl DeMarco: Hornor Townsend Advisor Faces $144K Complaint

By Chase Carlson |

A recent investor complaint against Tinton Falls, New Jersey financial advisor Carl DeMarco (CRD# 2671924) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Hornor Townsend & Kent, doing business as Primary Financial.

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Randy Moening: Aegis Advisor Fired by RBC

By Chase Carlson |

Austin, Texas financial advisor Randy Moening (CRD# 3029155) was recently terminated from his position at RBC Capital Markets in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that he is now registered as a broker with Aegis Capital Corporation.

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  • Robert Alegria: Bond Complaint Against Morgan Stanley Advisor

    Miami financial advisor Robert Alegria (CRD# 5978340) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory...

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