Legend Securities Broker Michael Stanton Allegedly Failed To Supervise, Breached Fiduciary Duty Soreide Law Group is investigating potential investor claims involving securities broker Michael Salvatore Stanton [CRD#: 1448072, New York, New York]. Notably, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck reports that the securities broker, who was a branch office manager for Legend Securities Corp. from […]

Broker Rick Higgins Allegedly Misrepresented Investments Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports alarming allegations of improprieties by securities broker Rick Higgins [CRD#: 1726947, Spartanburg, South Carolina]. Notably, one or more clients contested the actions of the securities broker, who worked with ProEquities from 2012 to 2016 and who presently works with First […]

FINRA Suspends Oromaner For Not Paying Aggrieved Client Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports troubling information in regard to securities broker Michael Oromaner [CRD#: 2857559, Syosset, New York]. Mainly, FINRA sanctioned Oromaner for unauthorized trading and failure to comply with legal requirements. But that's not all. At least 13 clients took issue […]

Securities Service Network Clients Suggest Peter Holler Sold Bad Woodbridge Notes Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports troubling allegations of sales practice violations by securities broker Peter Holler [CRD# 838897, Bristol, Tennessee]. Evidently, from 2001 and 2017, he worked for Securities Service Network between, who disaffiliated with him for concealing information about […]

Waddell Reed Clients Indicate Broker Donald Logan Caused Their Losses Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports alarming information in regard to securities broker Donald Logan [CRD#: 5537486, Silverdale, Washington]. Supposedly, at least 5 clients raised serious concerns about the securities broker, who worked for Waddell Reed between 2015 and 2018. Also, the […]

Kovack Investor Suggests Broker Jeffrey Davis Gave Bad Advice Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports alarming allegations of improprieties by securities broker Jeffrey Davis [CRD#: 2501354, Bristol, Connecticut]. Notably, no less than 10 clients contested the securities recommendations or sales of the securities broker, who joined Kovack Securities on November 1, 2013. […]

Broker Chris Kubiak Barred By SEC After Pleading Guilty To Wire Fraud Soreide Law Group is reviewing possible investor claims against securities broker Chris Kubiak [CRD#: 1527367, Brookfield, Wisconsin]. Apparently, the Securities and Exchange Commission (“SEC”) barred the securities broker pursuant to Order 3-19345. Notably, Kubiak pled guilty to at least 1 count of wire […]

Windsor Street's Raana Khan Allegedly Made Unsuitable Sales Of Private Placements Soreide Law Group is reviewing possible investor claims against broker Imtiaz “Raana” Khan (CRD#: 4084250, New York, New York). Apparently, the stockbroker was an executive for Windsor Street Capital, LP from July 21, 2006 to May 31, 2018 before joining Joseph Stone Capital L.L.C. […]

FINRA Issues Suspension, Fine To PlanMember's Raymond Menna The Financial Industry Regulatory Authority (“FINRA”) issued a 45 day suspension and $5,000 fine to PlanMember Securities Corporation broker Raymond Menna (CRD#: 1918097, Farmingville, New York, New York). Evidently, Menna, who worked for PlanMember Securities Corporation from August  12, 2010 to May 30, 2019, executed an Acceptance, […]