The following information is from FINRA’s December 2021 Disciplinary report: Glenn Edward Brandon Jr (CRD #1051682, Birmingham, Alabama) On October 15, 2021, an Acceptance, Waiver and Consent (AWC) was issued in which Glenn Edward Brandon Jr was barred from association with any FINRA member in all capacities. Without admitting or denying FINRA’s findings, Glenn Edward […]

Soreide Law Group obtained the following from FINRA’s website under, “Disciplinary and Other FINRA Actions,” December 2021. EDGAR A KLEYDMAN (CRD #2727571, Staten Island, New York) On October 14, 2021, an Acceptance, Waiver and Consent (AWC) was issued in which EDGAR A KLEYDMAN was barred from association with any FINRA member in all capacities. Without […]

Soreide Law Group obtained the following information from FINRA’s Disciplinary report from December of 2021. Adam Gerard Belardino (CRD #5221927, Scarsdale, New York) On October 5, 2021, an OHO decision became final in which Adam Gerard Belardino was barred from association with any FINRA member in all capacities. The sanction was based on findings that […]

Cetera Advisor Networks Discharges Kirk Knollman Over Discretionary Trading Allegations The Financial Industry Regulatory Authority (FINRA) contains important disclosures concerning securities broker Kirk William Knollman (CRD#: 2089445, Loveland, Ohio). Notably, Cetera Advisor Networks LLC discharged him as a securities broker. Also, two investor disputes allege unsuitable trading. One concerns Knollman’s actions at Cetera, while the […]

Broker Ricardo Turlan Suspended By FINRA For Alleged Unauthorized Trading Soreide Law Group has new information to share with you in regard to securities broker Ricardo Turlan (aka Ricardo Patricio Perez) (CRD#: 4431836, San Antonio, Texas). Financial Industry Regulatory Authority (“FINRA”) issued Turlan a suspension between June 7, 2021, and August 6, 2021, and fined […]

FINRA Investigates Securities Broker Mel Coffey's Trading For Suitability The Soreide Law Group has important information to share with you in regard to securities broker Arthur Mel Coffey (“Mel Coffey”) (CRD#: 2553466, Miller Place, New York). Specifically, Coffey, who worked for securities firms Legend Securities, First Standard Financial Company, and SW Financial, is under investigation […]

Soreide Law Group obtained the following information on FINRA’s website, under “Disciplinary and Other FINRA Actions,” December, 2021. Lee Victor Nordstrom (CRD #2248261, Spokane, Washington) On October 1, 2021, an Acceptance, Waiver and Consent (AWC) was issued in which Lee Victor Nordstrom was barred from association with any FINRA member in all capacities. Without admitting […]

Broker Vincent Virga Involved In Madison Avenue Securities Client Disputes About Alternative Investments The Financial Industry Regulatory Authority contains new information in regard to securities broker Vincent Anthony Virga (“Vincenzo Virga”) (CRD#: 5070668, Bayonne, New Jersey). Namely, it appears that two investors filed disputes alleging unsuitable recommendations by Virga when he worked for Madison Avenue […]

Securities Broker Joseph Lianzo Faces FINRA Sanctions Over Alleged Unauthorized, Unsuitable Trading Soreide Law Group is reviewing potential investor claims relating to securities broker Joseph Augustien Lianzo (CRD#: 4516842, Melville, New York). Namely, Lianzo, who has worked for securities firm SW Financial since September 2017, agreed to an eight-month suspension as a securities broker to […]