Soreide Law Group is investigating possible investor claims against securities broker TJ Fazzone (also known as Timothy Jay Fazzone) [CRD: 1610976, Dublin, OH]. Notably, FINRA sanctioned the securities broker, who worked for NYLife Securities LLC, because Fazzone allegedly converted funds. Here is a brief summary of FINRA’s allegations against Fazzone. FINRA Sanctions Fazzone For Conversion […]

Soreide Law Group is investigating possible investor claims against securities broker RD Washington (also known as Rodney Deleths Washington) [CRD: 1275777, New Albany, OH]. Evidently, FINRA sanctioned the securities broker, who worked for UBS Financial Services Inc. Allegedly, Washington failed to provide information and documents to FINRA when it investigated potential FINRA rule infractions. Moreover, […]

Soreide Law Group is investigating possible investor claims against securities broker Robin Auguste (also known as Robin Auguste) [CRD: 6874949, Chicago, IL]. Notably, FINRA sanctioned the securities broker, who worked for J.P. Morgan Securities LLC. Allegedly, Auguste failed to respond to FINRA’s request for information. Here is a brief summary of FINRA’s allegations against Auguste. […]

Soreide Law Group is investigating possible investor claims against securities broker Raymond Jennison (also known as Raymond Ellis Jennison Jr.) [CRD: 867502, Dallas, TX]. Evidently, FINRA sanctioned the securities broker, who worked for First Canterbury Securities Inc. Allegedly, Raymond Jennison failed to testify when FINRA investigated the securities broker for potential FINRA rule infractions. Also, […]

Soreide Law Group is investigating possible investor claims against securities broker Michael Dorband (also known as Michael D. Dorband) [CRD: 5770436, Blue Springs, MO]. Evidently, FINRA sanctioned the securities broker, who worked for Berthel Fisher Company Financial Services Inc. Allegedly, Dorband failed to respond to FINRA’s request for information. Here is a brief summary of […]

Soreide Law Group is investigating possible investor claims against securities broker Jason Hamby (also known as Jason Patrick Hamby) [CRD: 3089278, Blacksburg, VA]. Mainly, FINRA sanctioned the securities broker, who worked for Allstate Financial Services LLC. Allegedly, Hamby failed to testify when FINRA investigated the securities broker for potential FINRA rule infractions. Here is a […]

Soreide Law Group is investigating possible investor claims against securities broker Gaetano Ciambriello (also known as Gaetano Salvatore Ciambriello) [CRD: 6948879, New York, NY]. Mainly, FINRA sanctioned the securities broker, who worked for Citigroup Global Markets Inc. Allegedly, Ciambriello failed to testify when FINRA investigated the securities broker for potential FINRA rule violations. Here is […]

Soreide Law Group is investigating possible investor claims against securities broker Frank Cid (also known as Francis Cid) [CRD: 2897738, Plainview, NY]. Notably, FINRA sanctioned the securities broker, who worked for CBC Securities Inc. Allegedly, Frank Cid failed to turn over information and documents to FINRA when it investigated potential rule infractions. Here is a […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Dusty Veitenheimer (also known as Dusty Lynn Sternadel) [CRD: 5872600, Wichita Falls, TX]. Notably, investors complained about the securities broker, who worked for Ameriprise Financial Services LLC. Additionally, the securities broker disclosed a regulatory enforcement action. However, Veitenheimer denies the allegations of sales […]