Securities Broker Dawn Strachan (Questar Capital Corporation) Involved In Investor Disputes New disclosures have surfaced on Financial Industry Regulatory Authority (“FINRA”) BrokerCheck in regard to securities broker Dawn Alison Strachan (AKA Dawn Alison Osogwin) (CRD#: 4323197, Torrance, California). Specifically, two investors filed disputes about the securities broker. Here’s a quick summary of these disclosures, which […]

Soreide Law Group is currently investigating broker, Stephen James Sullivan (CRD#: 3123249), currently with Spartan Capital Securities of Garden City, New York since November 1, 2019. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, Stephen James Sullivan has been in the securities industry for 23 years and has been listed with 14 […]

Key Investment Services Clients Allege Misrepresentation, Unsuitable Transactions In Disputes About Broker John Milo Soreide Law Group comes to you with new information in regard to securities broker John Patrick Milo (CRD#: 1824688, Dayton, Ohio). Namely, Milo worked as a securities broker and financial advisor representative of Key Investment Services LLC (2012 to 2021). He […]

Client Files Dispute About Barred Integrity Broker Joshua Helmle Financial Industry Regulatory Authority (“FINRA”) shows new information on BrokerCheck regarding securities broker Joshua Nathan Helmle (CRD#: 2195760, Monterey Park, California). Specifically, a client filed a dispute alleging sales practice violations. This comes after Integrity Brokerage LLC permitted Helmle to resign and after FINRA indefinitely barred […]

Soreide Law Group has filed a complaint against A.G.P./ALLIANCE GLOBAL PARTNERS, located in Altoona, Wisconsin, for failing to supervise their former registered representative, MICHAEL FRANCIS SHILLIN (MICHAEL F SHILLIN CRD#: 5927156). Schillin has been barred by both the SEC and FINRA. The SEC, in September of 2021, charged MICHAEL F SHILLIN of Appleton, Wisconsin, with […]

Soreide Law Group Representing Potential Victims Of Northstar Bermuda Soreide Law Group is reviewing potential investor claims to bring against financial advisors and securities brokers who possibly gave unsuitable advice or committed other sales practice violations relating to Northstar Financial (Bermuda) Ltd. investment products. Let’s take a closer look at Northstar, including how Soreide Law […]

The Financial Industry Regulatory Authority (FINRA) has censured and fined, Advisor Group subsidiary, Triad Advisors, over $700,000 for alleged recommendations of an alternative mutual fund, LJM Preservation & Growth Fund (LJM), that allegedly cost clients hundreds of thousands of dollars in financial losses, according to a recent article in Financial Advisor IQ. According to FINRA, […]

JEFFREY L SLOTHOWER (JEFFREY LEONARD SLOTHOWER) CRD#: 3064787, a former financial advisor and broker, previously registered with Merrill Lynch in New York, was arrested in Southampton, New York, and charged with wire fraud, investment advisor fraud and money laundering.  After leaving Merrill Lynch,  Slothower started his own advisory firm, Battery Private. Allegedly, Slothower was involved […]

Soreide Law Group obtained the following information from FINRA's December 2021 Disciplinary Report. William A Fochi Jr (BILL FOCHI JR, WILLIAM A FOCHI) (CRD #1773450, Hebron, Connecticut) On October 6, 2021, an Acceptance, Waiver and Consent (AWC) was issued in which William A Fochi Jr was fined $10,000 and suspended from association with any FINRA […]