FINRA Launches Investigation Into Securities Broker Antoine Souma Relating To Possible Concealment Of Client Complaint It appears that securities broker Antoine Nabih Souma (CRD#: 4210987, Los Angeles, California) is under FINRA investigation. Essentially, FINRA says in a December 2020 disclosure that it might take disciplinary action against Souma for possibly violating FINRA and MSRB rules […]

Securities Broker Mike Leahy Sanctioned By FINRA, Ordered To Pay Client Compensation For Failure To Supervise Soreide Law Group has come across the Financial Industry Regulatory Authority (“FINRA”) BrokerCheck profile of securities broker Michael Leahy “Mike Leahy” (CRD#: 1899498, Red Bank, New Jersey). It seems that the regulator suspended Leahy as a securities broker in […]

Clients Of SunTrust File Disputes Alleging Unsuitable Recommendations By Sandra McKoy Financial Industry Regulatory Authority (FINRA) indicates that SunTrust investors have taken issue with the sales practices of Sandra Benain McKoy (CRD#: 2954755, Tamarac, Florida). It appears that McKoy worked as a financial advisor or securities broker for SunTrust Investment Services (1997 to 2017), SunTrust […]

LPL Clients Complain About Securities Broker Michael Henschel's Annuity, REIT Transactions Soreide Law Group comes to you with some helpful information in regard to securities broker Michael James Henschel (CRD#: 3112890, Stevens Point, Wisconsin). Specifically, the securities broker, who has worked as both an LPL Financial advisor and securities broker since October 2011, is involved […]

According to a recent article in Financial Advisor IQ, the Financial Industry Regulatory Authority (FINRA) has ruled against MORGAN STANLEY and their financial advisor KEVIN ANTHONY BUTLER (CRD#: 1138534).  The ruling was due to allegations of improper trading in options of Tesla stock. KEVIN ANTHONY BUTLER has been listed with MORGAN STANLEY in Norwell, Massachusetts, […]

National Securities Corp Clients Allege Unsuitable Transactions By Securities Broker Shaun Stein According to FINRA BrokerCheck, investors challenged the sales practices of securities broker Shaun Evan Stein (CRD#: 4873578, Jersey City, New Jersey). Evidently, Stein worked for JP Turner Company LLC and National Securities Corporation. The investment disputes reported on BrokerCheck concern his actions at […]

Soreide Law Group is investigating alleged claims by investors regarding the following broker formerly listed with Crown Capital Securities, L.P. of Watsonville, California, from 07/11/2011 - 12/31/2020: KENNETH JAMES BARROGA (CRD#: 2288752) According to FINRA’s BrokerCheck, available to the public on FINRA’s website, Barroga has not been registered with any other firms since December of […]

Soreide Law Group has been contacted by former clients regarding the following broker, and upon investigation into his FINRA BrokerCheck report, it was discovered that he has 20 disclosures on his FINRA CRD report, with 18 “Customer Disputes.” MICHAEL FASCIGLIONE (CRD#: 1806486), is currently with AEGIS CAPITAL CORP. of Mineola, New York since 9/13/2017. According […]

Securities Broker Torry Morris (Lincoln Investment, Investors Capital Corp) In Disputes Alleging Sales Practice Violations The Financial Industry Regulatory Authority (“FINRA”) BrokerCheck report for securities broker Anthony Ryan Morris “Tony Morris” (CRD#: 2849581, El Paso, Texas) shows that his employer, Lincoln Investment (El Paso, Texas), permitted him to resign amid allegations of violating policy. BrokerCheck […]