Soreide Law Group is investigating possible investor claims against securities broker William Worthen King (also known as Bill King) [CRD: 1432593, Vero Beach, Florida]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Merrill Lynch. Evidently, investors allege sales practice violations in these […]

Investors have come forward with complaints about Thomas Paul Tibaldi [CRD: 2672406, East Meadow, New York]. Evidently, the securities broker, who worked for Citigroup Global Markets Inc., discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Citigroup Global Markets Inc. clients allege misrepresentation and breach of fiduciary duty. For more on these disclosures […]

Soreide Law Group is investigating possible investor claims against securities broker Thais Drummond Piotrowski (also known as Thais Moreira) [CRD: 4729077, Boca Raton, Florida]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Ameriprise Financial Services. Evidently, investors allege sales practice violations in […]

Soreide Law Group is investigating possible investor claims against securities broker Simon Michel Joseph (also known as Simon Michael Youssef) [CRD: 5602157, Alexandria, Virginia]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Truist Investment Services Inc. Evidently, investors allege sales practice violations […]

Investors have come forward with complaints about Shawn Conan Spellacy [CRD: 2275119, Fair Oaks, California]. Evidently, the securities broker, who worked for Calton Associates Inc., discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Calton Associates Inc. clients allege unsuitable trading. For more on these disclosures about Spellacy, see below. Calton Associates Inc. […]

Investors have come forward with complaints about Seth Gordon Mason [CRD: 1540891, Grand Rapids, Michigan]. Evidently, the securities broker, who worked for Morgan Stanley Smith Barney, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Morgan Stanley Smith Barney clients allege that Mason engaged in unsuitable trading. For more on these disclosures about […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Ron Ernest Filoramo (also known as Ronald Ernest Filoramo) [CRD: 3270398, Fort Lauderdale, Florida]. Not only has Morgan Stanley disaffiliated with the securities broker, but investors disputed the sales practices of the securities broker, who worked for Morgan Stanley. However, Filoramo denies the […]

Soreide Law Group is investigating possible investor claims against securities broker Roberto Leslie (also known as Robert Leslie) [CRD: 2755940, Brooklyn, New York]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Infinex Investments Inc. Evidently, investors allege sales practice violations in these […]

Soreide Law Group is investigating possible investor claims against securities broker Robert W. Strang III [CRD: 3271839, Westfield, New York]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Equitable Advisors LLC. Here is a brief summary of the disclosures about Strang. Bear […]