Ameriprise Financial Services' Barry Abrams Facing Investor Disputes Alleging Unsuitability, Breach Of Fiduciary Duty Soreide Law Group brings you up to speed regarding securities broker Barry David Abrams (CRD#: 488, Marlton, New Jersey). Specifically, FINRA BrokerCheck shows that five investors brought disputes about Abrams, and a couple of those disputes concern Abrams’ actions at Ameriprise […]

Securities Broker Andrew LeBlanc Sanctioned, Faces Merrill Lynch Client Complaints Soreide Law Group comes to you with important investor information regarding securities broker Andrew Joseph LeBlanc II (CRD#: 2607117, Saddle Brook, New Jersey). Notably, LeBlanc received sanctions from Financial Industry Regulatory Authority (FINRA) to resolve allegations of his participation in private securities transactions. The state […]

Broker Frank Venturelli Ordered To Pay Fine By NJ Regulator The New Jersey Bureau of Securities reported that it sanctioned securities broker Frank Venturelli (CRD#: 6403468, Bay Ridge, New Jersey). Evidently, he is also known by the name Frank Vaughn. Notably, the securities broker, who worked for FINRA-member firms First Standard Financial Company (2014 to […]

Securities Broker Al Westbrook Receives Suspension, Fine From FINRA For Allegedly Selling Away Soreide Law Group provides you with the following update regarding securities broker John Albert “Al” Westbrook (CRD#: 1846059, McDonough, Georgia). Specifically, Westbrook, who worked for Center Street Securities (2014 to 2020), faced sanctions from FINRA for his alleged private securities transactions. In […]

Soreide Law Group, based in Florida, obtained the following information from FINRA’s website under, “Discipline and Other FINRA Actions, June 2021,” regarding Florida broker: Frederick Joseph Rock (CRD #2548242, Tampa, Florida) On April 23, 2021, an Acceptance, Waiver and Consent (AWC) was issued in which Frederick Joseph Rock was assessed a deferred fine of $5,000 […]

Farmers Financial Solutions Broker Kirk Bertsch Faces Investor Dispute, FINRA Sanctions For Woodbridge Transactions The Financial industry Regulatory Authority (“FINRA”) reveals that an investor disputed the sales practices of securities broker Kirk James Bertsch (CRD#: 4132889, Spearfish, South Dakota). The securities broker worked for Farmers Financial Solutions as a securities broker from 2008 to 2018, […]

Soreide Law Group (888-760-6552) obtained the following information on FINRA’s website under, “Disciplinary and Other FINRA Actions,” May, 2021. On March 19, 2021, Edmund Roger Zack (CRD #2215116, West Hempstead, New York) was issued an AWC in which Zack was assessed a deferred fine of $10,000, suspended from association with any FINRA member in all […]

RAYMOND ALAGAO VELASCO Sr (RAY VELASCO, RAYMOND VELASCO) CRD#: 4867519, formerly with LPL Financial of Lisle, Illinois, was suspended for two years and fined $10,000 by FINRA for allegedly falsifying documents to help his clients avoid paying certain fees. On April 1, 2021, without admitting or denying FINRA’s findings, RAYMOND ALAGAO VELASCO Sr  consented to […]

Spartan Capital Securities Broker Albert Foronda Sanctioned By FINRA, Involved In Investor Disputes Soreide Law Group has come across troubling information in regard to securities broker Albert Foronda (CRD#: 5737620, New York, New York). Evidently, the securities broker worked for Spartan Capital Securities LLC (August 2017 to present), Worden Capital Management LLC (2016 to 2017) […]