Securities Broker Stephen Ferencik Referenced In Unsuitable Alternative Investment Allegations By Arkadios Capital, ACG Wealth, And UBS Clients Soreide Law Group is reviewing potential investor claims relating to securities broker and financial advisor, Stephen John Ferencik (“Stephen John Ferencilz”) (CRD#: 3126037, Atlanta, Georgia). Evidently, Ferencik worked for firms including ACG Wealth Inc. (August 2010 to […]

Voya Financial Advisors Clients Allege Failure To Supervise In Disputes About Securities Broker Ronnie Metcalf The Financial Industry Regulatory Authority (FINRA) reports important information relating to securities broker Ronald Franklin Metcalf Jr. (“Ronnie Metcalf”) (CRD#: 1280602, Greenville, South Carolina). Evidently, until June 2021, Metcalf worked for Voya Financial Advisors as a securities broker and financial […]

Investor Disputes Allege Breach Of Fiduciary Duty, Churning By Worden Capital Securities Broker Nicholas Schiano Investors reportedly complained about securities broker Nicholas James Schiano (CRD#: 4429212, New York, New York). Evidently, the securities broker worked for securities firms, including Legend Securities (2013 to 2016), Worden Capital Management (2016 to 2017), and Spartan Capital Securities (August […]

LPL Financial Clients Allege Sales Practice Violations By Chris Black The Financial Industry Regulatory Authority (FINRA) provides new information concerning securities broker Christopher Bryan Black (CRD#: 5049080, Statesboro, Georgia). Specifically, the securities broker, who worked for Wells Fargo Clearing Services from 2013 to 2017, and LPL Financial from 2017 to 2020, is involved in investor […]

Securities Broker Joseph Chu Involved In RBC Capital Markets Clients' Disputes Over Energy Stock Recommendations Soreide Law Group is reviewing potential investor claims concerning securities broker Joseph Ijong Chu (CRD#: 4546805, Stamford, Connecticut). Namely, Chu, who works for RBC Capital Markets as a financial advisor and securities broker (2018 - present), is involved in six […]

Soreide Law Group has filed a FINRA arbitration on behalf of their client (Claimant) against: MML INVESTORS SERVICES, LLC (Respondent) The Claimant, who resides in Wisconsin, brings this action to recover losses while he was a client with MML INVESTORS SERVICES, LLC.  The lawsuit states that the Respondent and its former Financial Advisor, Todd Sivak, […]

According to a December 15, 2021, press release, the US Securities and Exchange Commission stated that Wedbush Securities Inc., a California-based broker/dealer, agreed to pay more than $1.2 million to settle charges from the alleged unlawful unregistered distribution of nearly 100 million shares of more than 50 different low-priced microcap companies, and due to Wedbush’s […]

Securities Broker Kim Barentsen Faces Investor Dispute, FINRA Sanctions The Financial Industry Regulatory Authority (FINRA) contains new information regarding securities broker Kimberly Ann Barentsen (CRD#: 2092280, Walnut Creek, California). It appears that a client of First Allied Securities disputed Barentsen’s sales practices. Also, FINRA issued a two-month suspension to the securities broker for allegedly engaging […]

Securities Broker Anthony Tricarico (Aegis) Involved In Investor Dispute, Sanctioned By FINRA Soreide Law Group is reviewing potential investor disputes relating to securities broker Anthony Tricarico (CRD#: 1047416, New York, New York). Tricarico worked for Aegis Capital Corp from March 2010 to July 2020. According to Financial Industry Regulatory Authority (FINRA) BrokerCheck, he faces disputes […]