Securities Broker Wil Rodriguez Involved In Wells Fargo Client's Dispute About Alleged Unauthorized Transactions Soreide Law Group comes to you with new information concerning Wells Fargo securities broker Rodriguez AKA “Wil Rodriquez” and “Wilfredo Rodriguez Jr.” (CRD# 2504369, Boca Raton, Florida). The Financial Industry Regulatory Authority (FINRA) BrokerCheck profile on Rodriguez shows that two investors […]

According to a recent article in InvestmentNews, the Financial Industry Regulatory Authority (FINRA) says barred a former broker from Cetera Advisors of Avon, Connecticut, Marianne O’Shee Smith, for allegedly using client checks totaling $45,100 to buy mutual fund shares for someone from her own family. The clients, according to InvestmentNews, all senior citizens, allegedly directed […]

Client Of TD Ameritrade Takes Issue With Securities Broker Kwasi Aggor's Sales Practices Soreide Law Group provides you with an update regarding securities broker Kwasi Mensah Aggor (CRD#: 4974222, Providence, Rhode Island). Evidently, the securities broker worked for firms AXA Advisors (2005 to 2007) and TD Ameritrade (2008 to 2018). Notably, FINRA barred Aggor as […]

Oppenheimer Securities Broker Dennis Ayre Barred By FINRA And Involved In Investor Disputes About Foresight Energy LP Stock Transactions Soreide Law Group is reviewing potential investor lawsuits against securities broker Dennis Phillip Ayre (CRD#: 5365176, Beverly Hills, California). Evidently, Ayre, who worked for broker-dealers including Hilltop Securities (2019 to 2020), Oppenheimer Co. Inc. (2014 to […]

According to FINRA’s BrokerCheck, on Dec. 30, 2021, a FINRA extended hearing panel ruled that DARRYL MATTHEW COHEN (CRD#: 2786613) should be barred on February 16, 2022 if no further action is taken, due to his refusal to provide information requested by FINRA. Cohen was discharged from Morgan Stanley Smith Barney, LLC, in Westlake Village, […]

FINRA issued the following complaint in the January 2022 Disciplinary Report. Issuance of a disciplinary complaint represents FINRA’s initiation of a formal proceeding in which findings as to the allegations in the complaint have not been made, and does not represent a decision as to any of the allegations contained in the complaint. Because these […]

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 […]