Soreide Law Group is investigating possible investor claims against securities broker Mickey Schreiber (also known as M.B. Schreiber) (CRD: 1032600, Red Bank, New Jersey. Specifically, Aegis Capital Corporation permitted Schreiber to resign amid allegations of his misconduct. Not only that, but FINRA sanctioned him and investors complained about him. Here is a brief summary of […]

Soreide Law Group is looking into possible investor claims against securities broker Patrick Anthony Perugino (also known as Pat Perugino) (CRD: 6363411, New York, New York). Particularly, FINRA sanctioned the securities broker, who worked for Spartan Capital Securities LLC. Allegedly, Perugino engaged in discretionary trading. Here is a brief summary of FINRA’s allegations against Perugino. […]

Soreide Law Group has learned of possible investor claims against securities broker David Lau (also known as David Luu) (CRD: 4567411, Santa Rosa, California). Particularly, FINRA sanctioned the securities broker, who worked for Morgan Stanley. Allegedly, Lau engaged in discretionary trading. Here is a brief summary of FINRA’s allegations against Lau. Lau Sanctioned By FINRA […]

Soreide Law Group is looking into possible investor claims against securities broker Douglas Kaiser (also known as Doug Kaiser) (CRD: 1674570, Boca Raton, Florida). Particularly, FINRA sanctioned the securities broker, who worked for Westpark Capital Inc. Allegedly, Kaiser failed to supervise markdowns and markups at Westpark Capital Inc. Here is a brief summary of FINRA’s […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Todd Anthony Cirella (CRD: 2396336, Melville, New York). Not only has FINRA sanctioned Cirella for making unsuitable recommendations, but investors disputed the sales practices of the securities broker. However, Cirella denies the allegations. Read on to learn more about the allegations against Cirella. […]

Soreide Law Group is looking into possible investor claims against securities broker Joan Ella Burgio (also known as Joanie Burgio) (CRD: 5397635, Chevy Chase, Maryland). Particularly, FINRA sanctioned the securities broker, who worked for LPL Financial LLC. Allegedly, Burgio engaged in an undisclosed outside business activity. Here is a brief summary of FINRA’s allegations against […]

Soreide Law Group is investigating possible investor claims against Wenru Liang (also known as Wenru Liang) (CRD: 5157279, Columbia, Maryland). Evidently, FINRA sanctioned the securities broker, who worked for Transamerica Financial Advisors Inc. Here is a brief summary of FINRA’s allegations against Liang. FINRA Sanctions Wenru Liang Particularly, on February 12, 2021, FINRA issued Case: […]

Soreide Law Group is investigating possible investor claims against Tonya Smoake (also known as Tonya Nicole Smoake) (CRD: 4985049, New York, New York). Evidently, FINRA sanctioned the securities broker, who worked for Purshe Kaplan Sterling Investments. Allegedly, Smoake engaged in private securities transactions. Here is a brief summary of FINRA’s allegations against Smoake. Tonya Smoake […]

Soreide Law Group is investigating possible investor claims against Stewart Schram (also known as Stewart Irwin Schram) (CRD: 1711571, Northbrook, Illinois). Evidently, FINRA sanctioned the securities broker, who worked for Kingsbury Capital Inc. Allegedly, Schram engaged in an undisclosed outside business activity and in private securities transactions. Here is a brief summary of FINRA’s allegations […]