According to a recent article in FinancialAdvisorIQ, the Financial Industry Regulatory Authority (FINRA)  has censured and fined National Securities Corp, a broker/dealer firm, over its alleged handling of private offerings. The FINRA letter of acceptance, waiver and consent (AWC) alleges that in December of 2017 and January of 2018, National Securities Corp (NSC) allegedly sold […]

Investor Dispute Concerns Securities Broker Sandra White (Cetera Advisor Networks) Evidently, the Financial Industry Regulatory Authority (FINRA) contains important investor dispute disclosures and a regulatory action disclosure on the record of securities broker Sandra Lee White (CRD#: 805113, Houston, Texas). It appears that White worked for securities firms Hall Flake Associates and Cetera Advisor Networks […]

Investor Brings Dispute About Securities Broker Hal Schwartz's Investment Strategy The Financial Industry Regulatory Authority (FINRA) contains important investor-related information concerning securities broker Harold Alan “Hal” Schwartz (CRD#: 841225, Winter Springs, Florida). Namely, the securities broker is involved in three investor disputes. Clients allege sales practice violations at Leaders Group or Royal Alliance. It also […]

Morgan Stanley Clients Bring Investment Disputes Concerning Broker Michael Rulison Soreide Law Group comes to you with new information regarding securities broker Michael Edward Rulison (CRD#: 407131, Syracuse, New York). Evidently, Rulison worked for securities firms RBC Dain Rauscher, Citigroup Global Markets, and Morgan Stanley. In fact, he joined Morgan Stanley in 2009 as a […]

Securities Broker Lee Rosenberg Is Involved In Investor Disputes Concerning Suitability The Financial Industry Regulatory Authority (FINRA) confirms through BrokerCheck that five investors filed disputes about securities broker Lee Evan Rosenberg (CRD#: 1010402, Jericho, New York). Evidently, Rosenberg worked for securities firm Cadaret Grant beginning in 1988 and currently works as a securities broker and […]

Broker RJ Bernstein (Morgan Stanley, Wells Fargo) Faces Investor Allegations Of Sales Practice Violations Soreide Law Group is reviewing investor disputes against securities broker Richard Jay “RJ” Bernstein (CRD#: 1113777, Los Angeles, California). Evidently, Bernstein worked for securities firms Merrill Lynch, Bear Stearns, Prudential Securities, Salomon Smith Barney, UBS Financial Services, Morgan Stanley, and Wells […]

Soreide Law Group is currently investigating claims that investors have made against brokers/financial advisors who may have made recommendations to purchase GWG L Bonds. JAMES EARL WILLIAMS of NEWBRIDGE SECURITIES CORPORATION in Boca Raton, Florida, allegedly may have recommended to certain clients the purchase of GWG L Bonds. GWG Holdings is the issuer of the […]

Shearson Financial Clients Voice Concerns About Broker Douglas Ellman's Trading Practices The Financial Industry Regulatory Authority (FINRA) provides new information regarding securities broker Douglas Keith Ellman (CRD#: 1673088, Boca Raton, Florida). Namely, the securities broker, who worked for Shearson Financial Services beginning in June 2003, is involved in three investor disputes where investors allege sales […]

Morgan Stanley Clients Voice Problems With Suitability Of Securities Broker Michael Ralby's Transactions The investment loss recovery team at Soreide Law Group provides updates from time to time on securities brokers who are involved in investor disputes. The firm comes to you with a new update regarding securities broker Michael Bruce Ralby (CRD#: 1301072, Boca […]