The following information was obtained on FINRA’s website, available to the public, under “Disciplinary and Other FINRA Actions - August 2021.” Robert A Lax (CRD #1985758, Warwick, New York) On June 14, 2021, an Acceptance, Waiver and Consent (AWC) was issued in which Robert A Lax was barred from association with any FINRA member in […]

Securities Broker Brittney Sias (Western International Securities) Involved In Investor Disputes Soreide Law Group has news to share with you in regard to securities broker Brittney Jade Sias (CRD#: 4274432, Westlake Village, California), who also goes by the name Rosalie Sias. Notably, Financial Industry Regulatory Authority (“FINRA”) shows that two investors filed disputes about the […]

TRAVIS J LIPPMANN (TRAVIS JUSTIN LIPPMANN) CRD#: 5908823, currently of JOSEPH STONE CAPITAL L.L.C. of New York, NY., according to FINRA’s BrokerCheck which is available to the public on FINRA’s website, has 3 disclosures on his FINRA CRD report.  All three of the disclosures are “Customer Disputes.”  The customer dispute filed in 2017 was denied.  […]

Securities Broker Mitchell Silverman Facing Disputes From Raymond James Clients Soreide Law Group has new information to share with you in regard to securities broker Mitchell Louis Silverman (CRD#: 500504, Boca Raton, Florida). Notably, the Financial Industry Regulatory Authority (FINRA) shows that six investors filed investment disputes about the securities broker, who worked for securities […]

Soreide Law Group obtained the following information from FINRA’s website under, “Disciplinary and Other FINRA Actions – August 2021.” Scott S Niekamp (CRD #3277810, Wildwood, Missouri) On June 9, 2021, an AWC was issued in which Scott S Niekamp was fined $10,000 and suspended from association with any FINRA member in all capacities for three […]

Soreide Law Group obtained this information on the following firm from FINRA’s website under, “Disciplinary and Other FINRA Actions – August  2021.” JTA Securities Management, Inc. dba Titan Securities (CRD #131392, Addison, Texas) On June 8, 2021, FINRA issued an Acceptance, Waiver, and Consent (AWC) in which JTA Securities Management dba Titan Securities was censured […]

Raymond James Broker Ronald Cameron Sanctioned, Involved In Investor Dispute The Financial Industry Regulatory Authority (“FINRA”) reports that it has sanctioned securities broker Ronald Patrick Cameron (who goes by R. Patrick Cameron) (CRD#: 2551641, Fayetteville, Arkansas). Notably, in April 2021 FINRA issued Cameron a five-week suspension and a $5,000 fine. This resolved FINRA’s allegations that […]

Wells Fargo, SunTrust Investors File Disputes About Securities Broker Raul Benitez The Financial Industry Regulatory Authority (FINRA) discloses through BrokerCheck that investors filed disputes about securities broker Raul Jorge Benitez (CRD#: 4457185, Aventura, Florida). Particularly, four investors filed complaints, and allegations in one or more of them include misrepresentation and suitability. Here’s more on these […]

Soreide Law Group Reviewing Possible Investor Claims Relating To Parking REIT Soreide Law Group is investigating possible investor claims against financial advisors and securities brokers relating to their recommendations and sales of investments in Parking REIT. Notably, SEC filed a lawsuit against an executive of Parking REIT, Michael Shustek, who owns Vestin Mortgage LLC. Coupled […]