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 […]

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 […]

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 […]

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 […]

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 […]

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 […]

Jacob Perry Cazier (CRD#: 6904198) is a previously registered broker and investment advisor. Broker’s Background He entered the securities industry in 2018 and previously worked for Allegis Investment Services, LLC; J.W. Cole Financial, Inc.; and Oak Lane Advisors. Current and Past Allegations of Conduct Leading to Investment Loss According to publicly available records released by […]

Ivan Gefen (CRD#: 1229418) is a registered broker and investment advisor at NewBridge Securities Corporation in Boca Raton, FL. Broker’s Background Ivan Gefen entered the securities industry in 1984, and previously worked for First Miami Securities, Inc; Prudential Securities Incorporated; VFinance Investments, Inc; National Securities Corporation; National Asset Management, Inc.; and Morgan Stanley. Current and […]

George John Cairnes (CRD#: 4068906) was a previously registered investment advisor and broker. Broker’s Background He entered the securities industry in 2000 and has previously worked for Chelsea Financial Services; Wells Fargo Clearing Services, LLC; Wells Fargo Investments, LLC; Stanford Group Company; and Merril Lynch, Pierce, Fenner, & Smith Incorporated. Current Allegations of Conduct Leading […]

Gary Steven Costello (CRD#:6117388) is a registered broker and investment advisor for Aegis Capital Corp. in Boca Raton, FL   Broker’s Background He entered the securities industry in 2016 and previously worked for Truist Advisory Services, Inc; Oppenheimer & Co. Inc.; Morgan Stanley; and Park Avenue Securities, LLC.   Current and Past Allegations of Conduct […]