FINRA Bars Javelin San Nicolas As Securities Broker Notably, FINRA BrokerCheck indicates that investors alleged improper sales practices involving securities broker Javelin Mikol San Nicolas “Jovi San Nicolas” (CRD#: 6722186, Sparks, Nevada) and that those violations resulted in damages. Evidently, San Nicolas worked as a securities broker or financial advisor for Edward Jones from 2016 […]

FINRA Suspends Keith Holcomb (MML Investor Services) Soreide Law Group comes to you with new information relating to the FINRA BrokerCheck disclosures on securities broker Keith Holcomb (CRD#: 6227200, Pawtucket, Rhode Island). Specifically, Holcomb, who worked for securities firm MML Investors Services (his employer from 2015 to 2017), faces allegations of failing to pay a […]

Soreide Law Group, based in Florida, has obtained information that Mark Alan Cline (CRD#: 3206962), not currently registered, formerly with National Securities Corporation (NSC) of Wildwood, Florida, is involved in a securities arbitration filing against him and NSC in hopes of recovering losses in GWG L Bonds. According to the claim, the former National Securities […]

Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: Coastal Equities, Inc., and their former registered representative, Jamie Nowakowski (Respondents). Ms. Nowakowski is no longer with Coastal Equities. The Claimant lives in Connecticut, works as a cashier, and lives on a fixed income. The Claimant’s husband is a retired […]

Broker Joseph Andreoli Is Involved In Wells Fargo Client Dispute About Suitability FINRA provides important information concerning Joseph Marie Andreoli Jr. (CRD#: 1718688, Hackensack, New Jersey). It appears that the disclosures involving Andreoli concern his financial advisor or securities broker role at securities firms Wells Fargo Clearing Services (his employer from 2009 to 2019) and […]

Broker Mirsad Muharemovic Faces Arive Investor Dispute About Alleged Unsuitable Trading FINRA BrokerCheck indicates that investors alleged sales practice violations involving securities broker Mirsad A. Muharemovic “Mirso Muharemovic” (CRD#: 3122589, Staten Island, New York) and that those violations resulted in damages. Particularly, Muharemovic, who worked for securities firms Arive Capital Markets (his employer since June […]

Bennett Robert Zamani (Bennett R Zamani CRD#: 6198730) was fined $27,500 and suspended for 14 months by the Financial Industry Regulatory Authority (FINRA).  Zamani is a former broker from Morgan Stanley in Paramus, New Jersey, who allegedly operated an unapproved day trading newsletter and used a personal phone for business texts with customers. On May […]

Client Of IFG Files Dispute Involving Alternative Investments By Shim Plotkin Soreide Law Group is examining investor complaints concerning securities broker Shimshon Plotkin “Shim Plotkin” (CRD#: 2431863, Chevy Chase, Maryland), as disclosed on FINRA BrokerCheck. Evidently, Plotkin worked for Independent Financial Group LLC (2011 - present). Also, he worked for Pacific West Securities Inc. (2006 […]

Client Of First Allied Securities Files Dispute About Larry Boggs' Annuity Recommendations Investment loss recovery counsel at Soreide Law Group provides you with new information on securities broker Larry Glenn Boggs (CRD#: 1874727, Atlanta, Georgia). Notably, Boggs discloses information about investor disputes on FINRA BrokerCheck. Evidently, he was a securities broker at First Allied Securities  […]