Broker Cristiano Castellini Involved In Merrill Lynch Investor Disputes Soreide Law Group has important information to share with you regarding securities broker Cristiano Tempo Castellini (CRD#: 2954284, Beverly Hills, California). Namely, three investors challenged his sales practices at Merrill Lynch Pierce Fenner Smith (“Merrill Lynch”). Let’s look at what these investor disputes allege. Merrill Lynch […]

Soreide Law Group is currently investigating the following broker due to clients who have reached out regarding the registered representative currently listed with NETWORK 1 FINANCIAL SECURITIES INC in Huntingon Station, New York, since June 8, 2016: CHARLES VINCENT MALICO (CHARLIE MALICO) CRD#: 1507282 According to FINRA’s BrokerCheck, available to the public on FINRA’s website, […]

Investor Disputes About Bill Sines Allege Unsuitable Transactions At SII Investments, Berthel Fisher Soreide Law Group is investigating whether to bring potential investor disputes against securities broker William Charles Sines (Bill Sines) (CRD#: 2190586, Seminole, Florida). Evidently, Sines worked for securities firms, including SII Investments (1997 to 2015), Kalos Capital (2015 to 2018), and Berthel […]

Clients Of Axiom Capital Management File Disputes About Securities Broker Jennifer Ling The Financial Industry Regulatory Authority (FINRA) BrokerCheck contains recent disclosures regarding securities broker Jennifer Ling (CRD#: 3277203, New York, New York). Specifically, Ling, who worked for Axiom Capital Management between May 2015 and July 2017, faces investor disputes. Here's a closer look at […]

CHRISTINA LINDSEY ORTA (CHRISTINA M LINDSEY,CHRISTINE MARIE LINDSEY) CRD#: 3278327, currently registered as a broker with CAMBRIDGE INVESTMENT RESEARCH, INC. of Westlake Village, CA, and an investment advisor with COOPER MCMANUS of Westlake Village, CA, according to FINRA’s BrokerCheck, is involved in a “Customer Dispute,” filed in August of 2021. The FINRA dispute against CHRISTINA […]

Jeffrey Baber (First Standard Financial Company) Involved In Investor Disputes Soreide Law Group is reviewing potential investor disputes concerning securities broker Jeffrey Allen Baber (CRD#: 1232485, Boca Raton, Florida). Investors allege that Baber made sales practice violations when he worked for National Securities Corporation and First Standard Financial Company. Let’s take a closer look at […]

Tennessee Securities Division Sanctions Raymond James' Bill Woods Financial Industry Regulatory Authority (FINRA) BrokerCheck contains three disclosures regarding securities broker William Forrest Winchester III (Bill Woods) (CRD#: 4404327, Chattanooga, Tennessee). Notably, Tennessee Securities Division reportedly sanctioned Woods for allegedly failing to disclose loans with Raymond James clients. It appears that Raymond James terminated Woods as […]

Soreide Law Group has represented over twelve Northstar Financial Services (Bermuda) investors and has several cases still pending against: SunTrust, BB&T, and Ocean Financial. Another broker/dealer brought to our attention is ROBIN VAIL PLATT who is currently registered with HANCOCK WHITNEY INVESTMENT SERVICES INC. of Covington, Louisiana. Allegedly, ROBIN VAIL PLATT, a registered representative with […]

Dawson James Securities Clients File Disputes About Securities Broker Douglas Armstrong Soreide Law Group has important information to share with you regarding Robert Douglas Armstrong (CRD#: 5236735, Boca Raton, Florida). Namely, Armstrong, who became a Dawson James Securities Inc. employee in August 2012, is involved in eight investor disputes. Here's more on the disclosures and […]