On January 24, 2022, the Financial Industry Regulatory Authority (FINRA) barred JOSHUA DAVID NICHOLAS (Josh Nicholas CRD#: 6529944).  Nicholas resigned from Merrill Lynch of Stuart, Florida, over allegations of forging documents and misappropriating funds, according to a recent article in Financial Advisor IQ. Without admitting or denying FINRA’s findings, JOSHUA DAVID NICHOLAS consented to the […]

Broker Ronald Daley (WS Brokerage Services, WS Life) Barred By FINRA Following Investigation The Financial Industry Regulatory Authority (“FINRA”) reports new information regarding securities broker Ronald Scott Daley (CRD#: 4682165, West Chester, Ohio). Specifically, Daley, who worked for securities firm WS Brokerage Services from January 2009 to August 2021, agreed to be barred indefinitely as […]

Barred Broker Bob Boyer Involved In MML Investor Disputes The Financial Industry Regulatory Authority (FINRA) contains important disclosures in regard to securities broker Robert Joseph Boyer (“Bob Boyer”) (CRD#: 5787312, Wayne, Pennsylvania). Evidently, Boyer worked for securities firms MSI Financial Services Inc. (2012 to 2017), MML Investors Services LLC (2017 to 2020), and J. Alden […]

Securities Broker Paul Vizanko Faces Investor Disputes Alleging Misuse Of Client Funds Soreide Law Group comes to you with new information regarding securities broker Paul Warren Vizanko (CRD#: 2572222, Duluth, Minnesota). Evidently, a client of Wells Fargo (Vizanko’s employer from September 2015 to February 2021) disputed Vizanko’s sales practices. Additionally, FINRA barred Vizanko as a […]

FINRA Bars Securities Broker Mike Iannarino, And A Private Client Services Investor Files A Dispute About Him Soreide Law Group provides you with an update on the FINRA BrokerCheck disclosures connected to Michael Joseph Iannarino (“Mike Iannarino”) (CRD#: 1258453, Columbus, Ohio). First, FINRA barred Iannarino for allegedly refusing to provide information and documents when it […]

Broker Ronald Giovino (GWN Securities) Barred, Involved In Investor Disputes The Financial Industry Regulatory Authority (FINRA) barred securities broker Ronald Joseph Giovino (CRD#: 2236071, Clearwater, Florida). This means that Giovino cannot be a securities broker with any FINRA-member firm (most securities firms in the country). In addition, it appears that Giovino is involved in disputes […]

Broker Marc Lippman (Folger Nolan) Barred By FINRA, Involved In Investor Dispute Alleging Breach Of Fiduciary Duty Soreide Law Group provides you with important information relating to securities broker Marc Romeyn Lippman (CRD#: 1575995, Washington, DC). Specifically, FINRA barred Lippman on June 17, 2021, to resolve allegations of his unauthorized transactions in customer accounts and […]

Broker Jenna Kang (Equitable Advisors) Barred By FINRA, Accused Of Unauthorized Transactions By Investors Soreide Law Group is investigating bringing potential investor disputes against securities broker Jenna Kang (“Jihye Kang”) (CRD#: 6334679, Los Angeles, CA). Notably, FINRA barred Kang in October 2020 because she allegedly failed to comply with an investigation. Not only that, but […]

Securities Broker Byron Treat Barred For Allegedly Failing To Comply In FINRA Investigation Over Church Bond Sales Soreide Law Group provides you with an update regarding the FINRA BrokerCheck disclosures connected to securities broker Byron Pat Treat (CRD: 1466393, Amarillo, Texas). Namely, FINRA barred Treat indefinitely following an investigation into his supervision of illiquid investment […]