Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Scott Jay Matalon [CRD: 4637378, New York, New York], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Matalon worked for Ameriprise Financial Services LLC from May 31, 2013, to August 16, 2019. He then worked […]

Investors might have sustained losses because of securities broker Richard John Webb [CRD: 6712838, Beachwood, Ohio], according to disclosures on FINRA BrokerCheck. Evidently, Webb worked for Park Avenue Securities LLC from August 6, 2019, to February 3, 2023. Keep reading to learn more about Richard Webb’s disclosures. Regulator Sanctioned Webb For Failing To Respond To […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Keith Michael Curtis [CRD: 4798755, Tampa, Florida], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Keith Curtis worked for Aegis Capital Corp. from June 17, 2015, to January 3, 2022. Keep reading to learn more […]

Soreide Law Group is investigating potential investor claims of sales practice violations due to John Sebastion Cangialosi Jr. [CRD: 3273830, New York, New York], given the disclosures on FINRA BrokerCheck. Evidently, Cangialosi worked for SW Financial from December 10, 2019, to August 16, 2022, and for Worden Capital Management LLC from November 4, 2016, to […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker John Aloysius Dougherty (also known as Jack Dougherty) [CRD: 3018615, Blue Bell, Pennsylvania], given the disclosures on FINRA BrokerCheck. Evidently, Dougherty worked for LPL Financial LLC from January 4, 2021, to August 11, 2023, and for Wells Fargo […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Joe David Gainer Jr. [CRD: 4517367, Marianna, Florida], given the disclosures on FINRA BrokerCheck. Evidently, Joe Gainer worked for Wells Fargo Clearing Services LLC from November 10, 2016, to June 15, 2022. Keep reading to learn more about […]

Investors might have sustained losses due to securities broker Robert L. Golding (also known as Rob Golding) [CRD: 5324763, Alpena, Michigan], according to disclosures on the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Particularly, Golding worked for Pruco Securities LLC from February 8, 2018, to September 12, 2022. Here’s more. FINRA Sanctioned Golding For Refusal To […]

Soreide Law Group is looking into potential claims on behalf of individuals who invested through Robert Emmett Marquez, also known as Bob Marquez [CRD: 2266269, Smithtown, New York], given FINRA’s recent sanctions against the broker. Marquez was previously registered with Investment Network Inc. from January 4, 2017, to November 6, 2023. Here’s more about FINRA’s […]

Some investors have potentially experienced damages because of securities broker Robert Allen Silvestri (also known as Rob Silvestri) [CRD: 2037669, Dallas, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Silvestri worked for Aegis Capital Corp. in 2023, in Dallas, Texas. He also worked for Level Four Financial LLC from 2018 to […]