Investor At MML Alleges Sales Practice Violation By Broker Curt Giacobbe Soreide Law Group provides you with new information concerning securities broker Curt Giacobbe (CRD#: 2682776, Melville, New York). Notably, Financial Industry Regulatory Authority BrokerCheck shows that investors filed disputes about the securities broker, who worked for securities firm MML Investors Services from 2012 to […]

Securities Broker Paul Antevy Involved In FMSbonds Client Disputes The Financial Industry Regulatory Authority (FINRA) contains new information concerning securities broker Paul Itzchak Antevy (CRD#: 2713105, North Miami Beach, Florida). It appears that Antevy joined FMSbonds Inc. in March 2003, and two clients of FMSbonds disputed Antevy’s sales practices. In addition, Antevy is involved in […]

Raymond James Clients, Morgan Keegan Clients File Investment Disputes About Securities Broker Shirley Washam Soreide Law Group has new information to share with you in regard to securities broker Shirley Ellen Washam (AKA Shirley Mazzanti and Shirley Davis) (CRD#: 2166419, Russellville, Arizona). Evidently, six investors complained about her sales practices, and one of those disputes […]

Wells Fargo Client Alleges That Broker Jordan Samelson Made Unauthorized Options Trades The Financial Industry Regulatory Authority (FINRA) shows that five or more investors filed disputes about securities broker Jordan David Samelson (CRD#: 2984356, Huntington, New York). Evidently, as of April 2016, Samelson works for securities firm Wells Fargo Clearing Services LLC in the capacity […]

According to a recent article in Financial Advisor IQ, PAUL RICHARD MCGONIGLE (Paul McGonigle), a broker formerly with SII INVESTMENTS INC and LPL Financial, both in New Bedford, Massachusetts, who was barred from the industry in 2020, could now be facing decades in prison over allegations that he swindled his elderly clients. On February 1, […]

Independent Financial Group Clients Allege Unsuitable Transactions, Breach Of Fiduciary Duty By Broker Aubrey Morrow Soreide Law Group is reviewing potential investor disputes regarding securities broker William Aubrey Morrow (CRD#: 836500, San Diego, California). According to FINRA BrokerCheck, Morrow worked as an Independent Financial Group securities broker from 2004 to 2018 and as an Independent […]

Cetera Investment Services Client Alleges Sales Practice Violation By Broker John Broughton The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker John Charles Broughton (CRD#: 2362478, Gross Pointe Woods, Michigan). Specifically, four investors filed disputes about Broughton. One of those investors filed a claim in July 2020 concerning Broughton’s actions at Cetera […]

Soreide Law Group obtained the following information from FINRA’s January of 2022 Disciplinary Report on the former WYNSTON HILL CAPITAL LLC of Fletcher, North Carolina, broker: CRAIG JAY SHERMAN (CRD #5670193, Fletcher, North Carolina) On November 12, 2021, an AWC was issued in which CRAIG JAY SHERMAN was assessed a deferred fine of $5,000, suspended […]

Portfolio Advisors Alliance Client Alleges Sales Practice Violations By Broker Howard Allen Soreide Law Group comes to you with important information about securities broker Howard Joseph Allen (CRD#: 2033586, New York, New York). BrokerCheck confirms that Allen worked as a securities broker for Portfolio Advisors Alliance LLC from January 2009 to December 2019. So far […]