On November 5, 2021, SEBASTIAN WYCZAWSKI (CRD#: 2835135), was fined $5,000, ordered to pay restitution of $21,644 plus interest, and suspended for five months, from December 6, 2021 until May 5, 2022, by the Financial Industry Regulatory Authority (FINRA).  He was formerly registered with Joseph Stone Capital LLC of Manorville, New York. According to the FINRA […]

Broker Sonia Balfour-Fears Involved in Merrill Lynch Investor Dispute The Financial Industry Regulatory Authority (FINRA) BrokerCheck contains new disclosures on securities broker Sonia Balfour-Fears (CRD#: 5864524, Atlanta, Georgia). Evidently, Balfour-Fears worked as a securities broker and financial advisor with Merrill Lynch Pierce Fenner Smith from 2011 to January 2021. She joined Morgan Stanley in January […]

Cadaret Grant Client Alleges Unsuitable OTC Trades By Broker Gerald Dewes The Financial Industry Regulatory Authority (FINRA) contains new disclosures in regard to securities broker Gerald Roger Dewes (CRD#: 2465538, East Amherst, New York). Namely, Dewes, who used to work for securities firm Cadaret Grant Co., faces investor disputes. Not only that, but FINRA barred […]

Glen Cole Involved In Moloney Securities Client Dispute About Purportedly Unsuitable Investments Soreide Law Group comes to you with new information in regard to securities broker Glennon "Glen" James Cole (CRD#: 1999588, Manchester, Missouri). Evidently, Cole is a former Moloney Securities Co. Inc. securities broker. He also used to work for firms First Brokerage America, […]

FINRA Opens Investigation Into Securities Broker Sherry Baker (Raymond James) Regarding Suitability The Financial Industry Regulatory Authority (FINRA) reports new information concerning securities broker Sherry Lynn Baker (CRD#: 1249220, Salem, Illinois). Evidently, FINRA, who is responsible for overseeing and investigating securities brokers, launched an investigation into Baker. FINRA's investigation concerns Sherry Baker's potential unsuitable recommendations […]

Client Of Broker Nick Polydoros (UBS) Alleges Unsuitability Soreide Law Group provides you with new information concerning financial advisor representative Nick James Polydoros (CRD#: 1109056, Scottsdale, Arizona). Evidently, Polydoros joined securities firm UBS Financial Services beginning in December 2011. He became a financial advisor representative at UBS Financial Services in April 2013. Before then, he […]

Clients Allege Sales Practice Violations In Disputes About UBS Broker Brant Ferguson The Financial Industry Regulatory Authority (FINRA) contains new disclosures concerning securities broker Brant Christopher Ferguson (CRD#: 2230893, Dallas, Texas). Specifically, two investors filed disputes alleging sales practice violations at UBS Financial Services, who Ferguson joined in May 2019 as financial advisor and securities […]

Soreide Law Group is investigating claims regarding the following broker:  STEVEN WILLIAM THOMPSON CRD#: 7133484 According to FINRA’s BrokerCheck, available to the public on FINRA’s website, STEVEN WILLIAM THOMPSON has one “Disclosure” on his FINRA CRD report.  This disclosure is an “Employment Separation after Allegations,” dated December 23, 2021.  Thompson was discharged from SW FINANCIAL […]

Soreide Law Group has been contacted by investors regarding the following broker: JAMES ROBERT PECORARO (CRD#: 2440231) of SPARTAN CAPITAL SECURITIES, LLC, of GARDEN CITY, New York. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, JAMES ROBERT PECORARO has been in the securities industry for 22 years and has been listed with […]