Soreide Law Group is investigating possible investor claims against securities broker Jeffrey Scott Graves (also known as Jeff Graves) (CRD: 1398578, Addison, Texas). Evidently, FINRA sanctioned the securities broker, who worked for FFEC Wealth Partners LLC. Allegedly, Graves failed to supervise. Here is a brief summary of FINRA’s allegations against Graves. Jeffrey Graves Suspended By […]

The Financial Industry Regulatory Authority (FINRA) reports important information about Gary Mark Goldberg (CRD: 223919, Fishkill, New York). Not only has FINRA sanctioned Goldberg for unsuitable recommendations, but one or more investors disputed the sales practices of the securities broker. However, Goldberg denies the allegations. Read on to learn more about the allegations against Goldberg. […]

Soreide Law Group is investigating possible investor claims against securities broker Olivier Robert Gillier (CRD: 3222378, New York, New York). Evidently, FINRA sanctioned the securities broker, who worked for Tigress Financial Partners LLC. Allegedly, Gillier engaged in private securities transactions. Here is a brief summary of FINRA’s allegations against Gillier. FINRA Suspends Gillier For Private […]

Soreide Law Group is investigating possible investor claims against securities broker Teresa Watkins Douberly (also known as Sharlene Douberly) (CRD: 2477566, Boca Raton, Florida). Evidently, FINRA sanctioned the securities broker, who worked for Aegis Capital Corporation. Allegedly, Douberly failed to supervise. Here is a brief summary of FINRA’s allegations against Douberly. FINRA Suspends Teresa Douberly […]

Soreide Law Group is investigating possible investor claims against securities broker Lee Ray Diedrich (CRD: 2636095, Great Falls, Montana). Evidently, FINRA sanctioned the securities broker, who worked for Pruco Securities LLC. Allegedly, Diedrich committed forgery. Here is a brief summary of FINRA’s allegations against Diedrich. FINRA Suspends Lee Diedrich For Forgery Evidently, on November 16, […]

Soreide Law Group is investigating possible investor claims against securities broker Michael Girard Deluca (also known as Mike Deluca) (CRD: 4428054, Beaver Falls, Pennsylvania). Evidently, FINRA sanctioned the securities broker, who worked for Fortune Financial Services Inc. Allegedly, Deluca failed to supervise. Here is a brief summary of FINRA’s allegations against Deluca. Deluca Suspended By […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Terry Tzagarakis (also known as Terry Rakis) (CRD: 2796055, New York, New York). Not only has FINRA sanctioned him for engaging in excessive trading, but investors disputed his sales practices. However, Tzagarakis denies the allegations. Read on to learn more about the allegations […]

Soreide Law Group is investigating possible investor claims against securities broker Joel Plasco (CRD: 3220164, Woodmere, New York). Notably, FINRA sanctioned the securities broker, who worked for Dalmore Group LLC. Allegedly, Plasco engaged in private securities transactions. Here is a brief summary of FINRA’s allegations against Plasco. Plasco Sanctioned By FINRA For Private Securities Transactions […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Nigel James (CRD: 4490687, Garden City, New York). Not only has FINRA sanctioned James for engaging in excessive and unsuitable trading, but investors disputed his sales practices. However, James denies the allegations. Read on to learn more about the allegations against James. James […]