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The New Regulation Best Interest Standard: How Does It Compare to the Fiduciary Standard?

April 6, 2021

The job titles of a Financial Advisor and Investment Advisor, in reality, more accurately describe the kind of work that’s done, not necessarily the credentials and obligated professional standards of the person doing it. People who perform financial advising and investment advising services may be registered Brokers and registered Investment Advisors or they might not.…

Previously Registered Dawson James Securities Broker Edmund Zack Sanctioned by FINRA and Suspended for Unsuitability and Churning

March 29, 2021

Edmund Zack (CRD#: 2215116) was a previously registered broker at Dawson James Securities, Inc., in New York, NY. He entered the securities industry in 1992 and previously worked for Benchmark Investments, Inc.; Western International Securities, Inc.; Aegis Capital Corp.; National Securities Corporation; J. H. Darbie & Co., Inc.; Carlin Equities Corp.; GKN Securities Corp.; and…

Churning and Excessive Trading Erode the Profitability of an Investment Account

March 15, 2021

While some investors choose to develop an investment portfolio because they enjoy the challenge of navigating the ups and downs of the stock market, others rely on theirs for financial growth and future security. And even though financial advisors typically tend to the day-to-day handling of customer accounts with the clients’ best interests in mind,…

Former Trustmont Financial Group Investment Advisor Ryan Tarjanyi Indefinitely Barred After Allegations of Forgery and Falsification of Information

March 14, 2021

Ryan Tarjanyi (CRD#: 6065805) is an Investment Advisor who worked at Trustmont Financial Group, Inc., in Greensburg, PA. He entered the securities industry in 2012 and previously worked for Proequities, Inc. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in March 2021, FINRA sanctioned Ryan Tarjanyi, indefinitely barring him from…

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Main Office - Fort Lauderdale

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We represent clients nationwide, including, but not limited to: Miami, Boca Raton, West Palm Beach, Sarasota, Tampa, Stuart, St. Petersburg, Vero Beach, Orlando, Jacksonville, Austin, Houston, Dallas, Washington DC, Charlotte, Boston, Baltimore, Phoenix, Scottsdale, Las Vegas, Los Angeles, San Diego, San Francisco, Chicago, Seattle, Portland, Denver, Salt Lake City, Fargo, Atlanta, Little Rock, Newark and St. Louis