Soreide Law Group has filed a FINRA arbitration on behalf of their client (Claimant) against: LPL FINANCIAL LLC (Respondent) The Claimant brings this action to recover alleged losses due to JP Morgan structured notes sold by Financial Advisor, Brian Singleton. The lawsuit states that the Respondent allegedly understood that the Claimant did not want to […]

ONESCO Broker Jesse Kovacs Suspended By FINRA, Accused Of Sales Practice Violations By Investors FINRA BrokerCheck contains important disclosures regarding securities broker Jesse Todd Kovacs (CRD#: 5047161, Forked River, New Jersey). Specifically, FINRA suspended Kovacs as a securities broker in September 2020 to resolve allegations that he engaged in a private securities transaction in violation […]

Broker Sean Parikh Fined For Excessive Trading, Faces Aegis Client Disputes Alleging Unsuitability Soreide Law Group comes to you with an update regarding the FINRA BrokerCheck disclosures relating to Aegis Capital Corp securities broker Kishan Parikh (“Sean Parikh”) (CRD#: 5506554, New York, New York). It appears that FINRA suspended Parikh as a securities broker between […]

Soreide Law Group has been contacted by investors who have experienced losses in LJM Capital Preservation and losses in FS Energy due to the alleged recommendations of their financial advisor/broker: JOHN STEPHEN PRONOVOST (JOHN S PRONOVOST) Since 2/26/21, JOHN S PRONOVOST has been listed with, INFINEX INVESTMENTS, INC. of Watertown, Connecticut.  He was previously registered […]

Broker Gordon Bryan (Wells Fargo) Suspended By FINRA, Accused Of Excessive Trading Soreide Law Group discusses BrokerCheck disclosures relating to securities broker Gordon Leonard Bryan (CRD#: 1292315, Terre Haute, Indiana). Notably, FINRA issued Bryan a two-month suspension and a $5,000 fine to resolve allegations that he engaged in an undisclosed outside business activity. In addition, […]

FINRA Bars Securities Broker Brian Radoo, And Investors File Disputes About Him The Financial Industry Regulatory Authority (FINRA) contains important regulatory sanctions and client disputes involving securities broker Brian Radoo (CRD#: 2558458, Tucson, Arizona). It appears on BrokerCheck that FINRA barred Radoo as a securities broker in December 2020. Six investors filed disputes alleging sales […]

Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: KALOS CAPITAL, INC., and their registered representative, ERIC PETER WESCHKE (Respondents). The Claimant brings this action to recover investment losses experienced due to the Respondents alleged recommendations of unsuitable alternative investments, business development corporations (BDCs) and real estate investment trusts […]

Centaurus Financial Broker Marty Dickerson (Centaurus Financial) Facing Accusations Of Unsuitable Trading, Negligence Soreide Law Group comes to you with important information regarding securities broker Marcious Dickerson (“Marty Dickerson”) (CRD#: 1053338, Livonia, Michigan). According to Financial Industry Regulatory Authority (FINRA) BrokerCheck, four investors filed disputes about Dickerson. Three of those disputes concern Dickerson’s actions at […]

Securities Broker Adam Summers Terminated By Stifel Nicolaus, Referenced In Investor Dispute Soreide Law Group provides you with an update on securities broker Adam Petersen Summers (CRD#: 5587343, Frankfort, Illinois). It appears on Financial Industry Regulatory Authority (FINRA) BrokerCheck that Summers worked for securities firms Wells Fargo Clearing Services LLC (October 2010 to January 2021), […]