The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Philip Smith (also known as Phillip Norris Smith) (CRD:  2833891, New York, NY). Evidently, investors disputed the sales practices of the securities broker, who worked for Equitable Advisors LLC. Additionally, the securities broker discloses a regulatory enforcement action. Notably, these disclosures allege Smith […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Tim Petrou (also known as Efthimios George Petrou) (CRD:  2672840, Ronkonkoma, NY). Not only has FINRA sanctioned Petrou for excessive trading, but investors disputed the sales practices of the securities broker. However, Petrou denies the allegations. Read on to learn more about the […]

Soreide Law Group is investigating possible investor claims against securities broker Robert Mehlin (also known as Robert Charles Mehlin Jr.) (CRD:  736694, Fairfield, NJ). Evidently, Coastal Equities Inc. terminated the securities broker for cause following FINRA sanctions. Here is a brief summary of the disclosures concerning this securities broker. Coastal Equities Inc. Disaffiliates With Robert […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Zach Hansen (also known as Zachary Hansen) (CRD:  5553180, Denver, CO). Not only has FINRA sanctioned Hansen for False Records Or Books, but investors disputed the sales practices of the securities broker. However, Hansen denies the allegations. Read on to learn more about […]

Soreide Law Group is investigating possible investor claims against securities broker Michael Scott Desando (CRD:  1849321, Red Bank, NJ). Evidently, FINRA sanctioned the securities broker, who worked for Network 1 Financial Securities Inc. Allegedly, Desando engaged in excessive trading. Here is a brief summary of FINRA’s allegations against Desando. FINRA Issues Sanctions To Michael Desando […]

Soreide Law Group is investigating possible investor claims against securities broker Michael Leahy (also known as Mike Leahy) [CRD: 1899498, Red Bank, New Jersey]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses regulatory actions and disputes involving the securities broker, who worked for First Standard Financial Company LLC. Here is a brief summary of the […]

Soreide Law Group is investigating possible investor claims against securities broker Thomas Hallberg (also known as Tom Hallberg) [CRD: 3053755, Forest Lake, Minnesota]. Notably, FINRA sanctioned the securities broker, who worked for Edward Jones. Allegedly, Hallberg made discretionary trades. Here is a brief summary of FINRA’s allegations against Hallberg. FINRA Sanctions Edward Jones’ Thomas Hallberg […]

Soreide Law Group is investigating possible investor claims against securities broker Sanjay Bhargava [CRD: 4495397, La Vista, Nebraska]. Notably, Maryland sanctioned the securities broker, who worked for Regulus Financial Group LLC. Here is a brief summary of Maryland’s allegations against Bhargava. Maryland Sanctions Regulus Financial Group LLC Securities Broker For Prior Regulatory Enforcement Action Particularly, […]

Soreide Law Group is investigating possible investor claims against securities broker Ramiro Colon AKA Ramiro Luis Colon Ortiz III [CRD#: 1868710, Miami, FL]. Evidently, FINRA sanctioned the securities broker, who worked for UBS Financial Services. Allegedly, Colon utilized unauthorized communication channels to conduct investment related business. Here is a brief summary FINRA’s allegations against Colon. […]