Securities Broker Nick Palumbo, Who FINRA Barred, Is Involved In An Investor Dispute The Soreide Law Group has come across important information regarding securities broker Nicholas Richard Palumbo (“Nick Palumbo”) (CRD#: 1069948, Armonk, New York). It appears that an investor challenged Palumbo’s sales practices at Park Avenue Securities LLC, where he worked from May 1999 […]

New Jersey Securities Bureau Bars John Cahill As Securities Broker, Financial Advisor Representative Soreide Law Group is looking into potential claims to bring on behalf of investors against securities broker John Joseph Cahill (CRD#: 1240551, Upper Salle River, New Jersey). Supposedly, the New Jersey Bureau of Securities revoked Cahill’s securities broker and financial advisor representative […]

Broker George Warner Barred By FINRA, Involved In Investor Dispute Alleging Selling Away Soreide Law Group is investigating potential investor disputes to bring against securities broker George Marshall Warner Jr. (CRD#: 2300570, Staten Island, New York). Evidently, FINRA barred Warner as a securities broker in March 2021 because of him failing to comply with an […]

On November 2, 2021, JAMES ALAN SEIJAS (JAMES A SEIJAS) CRD#: 2392901, was barred by FINRA from acting as a broker or otherwise associating with a broker/dealer firm. Seijas was registered from November of 2013 until March of 2019 with WELLS FARGO CLEARING SERVICES, LLC of Short Hills, New Jersey. According to the FINRA report, […]

Securities Broker John Santariello Gets Barred By FINRA, Accused Of Sales Practice Violations Including Excessive Trading, Churning Soreide Law Group has learned through Financial Industry Regulatory Authority (FINRA) BrokerCheck that the regulator barred John Joseph Santariello (CRD#: 5746158, Coram, New York). Evidently, Santariello worked for securities firms KC Ward Financial, National Securities Corporation, Wilmington Capital […]

On October 7, 2021, ERIC SHEA HOLLIFIELD (ERIC S HOLLIFIELD) was barred by the Financial Industry Regulatory Authority (FINRA).  Hollifield was previously registered both as a broker and as an investment advisor.  He was formerly registered as a broker with LPL FINANCIAL LLC OF Dacula, Georgia from 10/14/2016 - 09/10/2021. According to the FINRA report, […]

Securities Broker Arieh Israel Barred By FINRA, Facing NYLife Client Complaint Notably, FINRA barred securities broker Arieh Israel (CRD#: 6481347, New York, New York) as a securities broker to resolve allegations of misuse of investor funds. Not only that, but Israel, who worked for NYLife Securities from October 2016 to February 2020, is facing investor […]

On October 1, 2021, the Financial Industry Regulatory Authority (FINRA) barred JEFFREY DAMPF (CRD#: 5676205), a broker formerly with PFS INVESTMENTS INC. OF TOTOWA, NEW JERSEY.  According to FINRA’s BrokerCheck, Dampf was listed with PFS INVESTMENTS INC. from October 21, 2009 until September 21, 2021. Without admitting or denying FINRA’s findings, JEFFREY DAMPF consented to […]

Oppenheimer Investors File Disputes Alleging Sales Practice Violations By Securities Broker Jeffrey Warren Soreide Law Group provides you with the following update regarding securities broker Jeffrey Warren (CRD#: 2707969, Boca Raton, Florida). It appears that as of May 28, 2021, FINRA barred Warren from acting as a securities broker or associating with a FINRA-member firm. […]