Articles Tagged with Vcs Venture Securities

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The law offices of Gana Weinstein LLP represents investors in investment disputes with their financial advisors or brokerage firms, such as VCS Venture Securities. Many investors do not recognize financial advisor misconduct when it happens, but there are steps that can be taken to recover investment losses. There are many different types of broker misconduct, including breach of fiduciary duty, failure to supervise, misrepresentation, and churning. The attorneys at Gana Weinstein LLP can analyze your investments to determine if there was actionable misconduct by the broker or brokerage firm.

VCS Venture Securities is a broker-dealer that provides retail securities brokerage along with private placements, placement agent and finder services, and investment banking services such as mergers and acquisitions advisory, due diligence, and capital raising for business entities. Formerly known as Primary Capital and formed in Delaware in 2000, the firm is headquartered at 29 Broadway in New York and is owned by Leo Capital Markets with a minority interest held by New Age Capital Management.

VCS Venture Securities – By the Numbers:

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Kelly (Kelly), currently associated with Vcs Venture Securities, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Kelly recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $958,000.00 on January 13, 2026.

Unsuitable investments and excessive trading.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brandon Pflaum (Pflaum), currently associated with Vcs Venture Securities, has at least one disclosable event. These events include one customer complaint, alleging that Pflaum recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $166,000.00 on June 02, 2021.

Approximately six years after the fact, customers allege an investment was unsuitable.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Fallarino (Fallarino), currently associated with Vcs Venture Securities, has at least one disclosable event. These events include one customer complaint, alleging that Fallarino recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $30,133.13 on September 22, 2021.

CHURNING FOR COMMISSIONS AND QUANTITATIVE UNSUITABILITY (FRAUD) RULES 2111 AND SECTION 17(a) OF THE SECURITIES ACT OF 1933, SECTION 10(b) OF THE SECURITIES EXCHANGE ACT OF 1934 AND RULE 10b-5,QUALITATIVE AND QUANTITATIVE UNSUITABILITY (RULE 2111), BREACH OF FIDUCIARY CONTRACT AND IMNPLIED COVENANT OF GOOD FAITH AND FAIR DEALING, NEGLIGENT MISREPRESENTATION AND OMISSIONS, STANDARDS OF COMMERCIAL HONOR AND PRINCIPLES OF TRADE (RULE2010).

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dwayne Bullen (Bullen), previously associated with Vcs Venture Securities, has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Bullen recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on July 12, 2022.

Respondent Bullen failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Mirenda (Mirenda), currently associated with Vcs Venture Securities, has at least one disclosable event. These events include one customer complaint, alleging that Mirenda recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $1,500,000.00 on January 03, 2022.

Alleged excessive, unsuitable and unauthorized trades.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Maggio (Maggio), currently associated with Vcs Venture Securities / Joseph Stone Capital L.l.c., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Maggio recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $2,087,663.24 on January 03, 2022.

Churning, negligence and unsuitability, failure to supervise, unauthorized trading, breach of fiduciary duty, breach of contract, unjust enrichment, negligent misrepresentation and omissions, lost opportunity damages, and punitive damages.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Mirenda (Mirenda), currently associated with Vcs Venture Securities, has at least one disclosable event. These events include one customer complaint, alleging that Mirenda recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $1,500,000.00 on January 03, 2022.

Alleged excessive, unsuitable and unauthorized trades.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Maggio (Maggio), currently associated with Vcs Venture Securities / Joseph Stone Capital L.l.c., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Maggio recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $2,087,663.24 on January 03, 2022.

Churning, negligence and unsuitability, failure to supervise, unauthorized trading, breach of fiduciary duty, breach of contract, unjust enrichment, negligent misrepresentation and omissions, lost opportunity damages, and punitive damages.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Gates (Gates), currently associated with Vcs Venture Securities, has at least one disclosable event. These events include one customer complaint, alleging that Gates recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $500,000.00 on May 23, 2022.

Unsuitability and excessive trading

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