Soreide Law Group is investigating possible investor claims against Andrew Perry (also known as Andrew Fredric Perry) (CRD: 1726938, Margate, New Jersey). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for UBS Financial Services Inc. Notably, investors allege sales practice violations in these […]

Soreide Law Group is investigating possible investor claims against securities broker Wayne Ribnick (also known as Wayne Stuart Ribnick) [CRD: 2682822, Malibu, CA]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck disclosed that investors complained about the securities broker, who worked for Securities America Inc. Notably, investors allege sales practice violations in these disputes, including that […]

Soreide Law Group is investigating possible investor claims against securities broker Todd Kling (also known as Todd Franklin Kling) [CRD: 3034284, New York, NY]. Mainly, FINRA sanctioned the securities broker, who worked for Joseph Stone Capital LLC. Allegedly, Kling made excessive trades. Here is a brief summary of FINRA’s allegations against Kling. FINRA Sanctions Todd […]

Soreide Law Group is investigating possible investor claims against securities broker Stephen Tosha (also known as Stephen Patrick Tosha) [CRD: 5970854, Dallas, TX]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck disclosed that investors complained about the securities broker, who worked for Merrill Lynch Pierce Fenner Smith Incorporated. CA Dept. Of Insurance Sanctions Stephen Tosha Over […]

Soreide Law Group is investigating possible investor claims against securities broker Scott Martinson (also known as Scott Randall Martinson) [CRD: 2509952, Melville, NY]. Evidently, FINRA sanctioned the securities broker, who worked for First Standard Financial Company LLC. Allegedly, Martinson failed to supervise registered representatives. Also, investors disputed Martinson’s sales practices. Here is a brief summary […]

Soreide Law Group is investigating possible investor claims against securities broker Robert Foley (also known as Robert Patrick Foley) [CRD: 6060234, Red Bank, NJ]. Evidently, FINRA sanctioned the securities broker, who worked for Wynston Hill Capital LLC. Allegedly, Foley failed to supervise registered representatives. Here is a brief summary of FINRA’s allegations against Foley. FINRA […]

Soreide Law Group is investigating possible investor claims against securities broker Robert Spencer (also known as Robert Jonathan Spencer) [CRD: 431878, Cheektowaga, NY]. Evidently, FINRA punished the securities broker, who worked for Cetera Advisor Networks LLC. Allegedly, Robert Spencer did not provide information and documents to FINRA when it investigated potential FINRA rule violations. Here […]

Soreide Law Group is investigating possible investor claims against securities broker Nicholas Teutonico (also known as Patrick Nicholas Teutonico) [CRD: 2875434, Seaford, NY]. Mainly, FINRA sanctioned the securities broker, who worked for Network 1 Financial Securities Inc. Allegedly, Teutonico engaged in excessive trading. Here is a brief summary of FINRA’s allegations against Teutonico. FINRA Sanctions […]

Soreide Law Group is investigating possible investor claims against securities broker Nathan Plumb (also known as Nathan Marek Plumb) [CRD: 4598158, Madison, WI]. Evidently, FINRA sanctioned the securities broker, who worked for Lincoln Financial Advisors Corporation. Allegedly, Plumb engaged in an undisclosed outside business activity. Here is a brief summary of FINRA’s allegations against Nathan […]