FINRA Suspends Broker Chris Bond, And An Investor Files A Dispute About Him FINRA BrokerCheck indicates that investors alleged sales practice violations involving securities broker Christopher Edward Bond “Chris Bond” (CRD#: 4658534, Melville, New York) and that those violations resulted in damages. Particularly, Bond, who has been with National Securities Corporation since 2004 and National […]

In a recent press release, it was announced that the Securities and Exchange Commission (SEC) charged registered broker/dealer, Western International Securities, Inc. (Western) and five of their registered representatives, Nancy Cole, Patrick Egan, Andy Gitipityapon, Steven Graham, and Thomas Swan, with violating Best Interest Obligation regulations (also referred to as Regulation Best Interest or Reg […]

Soreide Law Group filed a FINRA arbitration on behalf of our client (Claimant) against: CENTAURUS FINANCIAL, INC. (Centaurus), and their former registered representative, OTTO RAMON BOHON (Otto Bohon) (Respondents). The Claimant is retiree living in Colorado. The lawsuit states that the Claimant was referred to Centaurus’ registered representative, Otto Bohon, in 2018 to allegedly help […]

Soreide Law Group, based in Florida, has filed a FINRA arbitration on behalf of our client (Claimant) against: NEWBRIDGE SECURITIES CORPORATION (Newbridge), and their registered representative, DEAN ROBERT NOWAK (Dean Nowak) (Respondents). The Claimant is a retiree living in Florida with her husband who is also elderly and retired.  The Claimant was looking for safe, […]

The Florida-based Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: NEWBRIDGE SECURITIES CORPORATION and their registered representative, JAMES E WILLIAMS (Respondents) The Claimant is a retiree living in Pompano Beach, Florida who hired Newbridge broker, James E Williams, to help the Claimant with retirement planning. The lawsuit states […]

First Allied Securities Client Complains Of Alleged Unsuitable Recommendations By Broker Bob Weissbein Soreide Law Group provides you with new information in regard to securities broker Robert Steven Weissbein “Bob Weissbein” (CRD#: 1089065, Plantation, Florida). Evidently, Weissbein worked as a securities broker or financial advisor for Capital Guardian LLC, Capital Guardian Wealth Management LLC, First […]

Securities Broker Corey White Involved In Western International Securities Client Dispute About Supervision The Financial Industry Regulatory Authority (FINRA) contains important information regarding securities broker Corey Andrew White (CRD#: 4537015, Pasadena, California). Evidently, White was a financial advisor and securities broker with Financial West Group from 2002 to 2017. He joined Western International Securities in […]

Soreide Law Group has filed a FINRA arbitration on behalf of our clients (Claimants) against: NEWBRIDGE SECURITIES CORPORATION, and their registered representative, KYLE G CORGAN (Respondents). The Claimants live both in New York and Florida, and are retired.  The lawsuit alleges that the Respondents were aware that the Claimants were looking to protect their retirement […]

PHX Client Alleges Unsuitable Investments Involving Donald Durando The Financial Industry Regulatory Authority (FINRA) contains important disclosures in regard to securities broker Donald Angelo Durando (CRD#: 5509340, Hauppauge, New York). Namely, Durando, who worked for securities firms John Thomas Financial and PHX Financial Inc. (2014 to present), is involved in investor disputes. Here’s a closer […]