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. […]

Securities Broker Robert Barnard Is Barred By FINRA And Is Facing Disputes From Principal Securities Clients Soreide Law Group comes to you with important information regarding securities broker and financial advisor Robert Barnard (CRD#: 5504882, Las Cruces, New Mexico). Notably, the Financial Industry Regulatory Authority (FINRA) barred Barnard to settle allegations that he violated FINRA […]

Transamerica Investors File Disputes About Barred Securities Broker Narinder Singh Soreide Law Group has important information to share with you regarding securities broker Narinder Kaur Singh (CRD#: 3100308, Sacramento, California). Evidently, Singh worked for Transamerica (2016), ProEquities (2016 to 2017) and Farmers Financial Solutions (2018 to 2019). According to a regulatory action dated August 28, […]

Worden Capital Managment Clients File Disputes Concerning Broker Christ Baltas The Financial Industry Regulatory Authority (“FINRA”) reported that investors filed disputes about securities broker Christ Elias Baltas (CRD#: 2570499, Melville, New York). Namely, two investors filed disputes about Baltas’ sales practices. Those disputes seem to concern his actions while working for Worden Capital Management (Melville, […]