Stoever Glass, HJ Sims Clients File Disputes About Securities Broker Adam Goodman Soreide Law Group is looking into bringing potential investor lawsuits alleging misconduct against securities broker Adam Craig Goodman (CRD#: 2263780, Boca Raton, Florida). It appears that seven investors have disputed the sales practices of the securities broker, who worked for firms Herbert J. […]

FINRA Bars Broker Dan Jossen, And Investors File Disputes About His Life Insurance, Annuity Sales The Financial Industry Regulatory Authority (FINRA) declared on June 25, 2021 that it has barred securities broker Daniel “Dan” E. Jossen (CRD#: 5463761, Bethesda, Maryland) – the NYLife Securities broker – over allegations of Jossen’s sales practice violations. Not only […]

National Securities Corporation Clients File Disputes Over Willard Pugh's Alternative Investment Transactions Soreide Law Group has new information to share with you in regard to securities broker Willard Louis Pugh (CRD#: 1757428, Boca Raton, Florida). Evidently, he worked for Dawson James Securities (2007 to 2016) and National Securities Corporation (2016 to present) as securities broker, […]

Newbridge Securities Corporation Client Alleges Bad Alternative Investments In Dispute About Broker Marshall Isaacson The Financial Industry Regulatory Authority (“FINRA”) BrokerCheck report for securities broker Marshall Owen Isaacson (CRD#: 1140370, Boca Raton, Florida) contains new disclosures. Evidently, the securities broker worked for National Securities Corporation from August 2007 to July 2016, and Newbridge Securities Corporation […]

The Florida-based, Soreide Law Group, obtained the following information on FINRA’s website under, “Disciplinary and Other FINRA Actions—August 2021.” On June 25, 2021, Nathan Gersteen Katz, formerly with American Independent Securities Group, LLC of Largo, Florida, was barred by FINRA from acting as a broker or otherwise associating with a broker/dealer firm. An Acceptance, Waiver, […]

LPL Financial Client Brings Dispute About Investing In REIT, BDC Through Broker Laura Shrawder-Miles Soreide Law Group provides you with new information in regard to the allegations against securities broker Laura Renee Shrawder-Miles (CRD#: 2384721, Sunbury, Pennsylvania). Notably, four investors disputed Shrawder-Miles’s sales practices, and LPL Financial LLC disaffiliated with her for alleged misconduct. Let’s […]

Merrill Lynch Client Files Dispute About Broker Peter Ianace's Recommendations The Financial Industry Regulatory Authority (FINRA) discloses new information through BrokerCheck as it relates to Peter Vincent Ianace (CRD#: 3238078, Plano, Texas). It appears that the securities broker, who worked for Merrill Lynch (2011 to 2019) and Wells Fargo Clearing Services (2019 to 2020), is […]

Soreide Law Group, based in South Florida, obtained the following information from FINRA’s website on the following broker who was registered with GENTEM CAPITAL LLC in Old Bridge, New Jersey and Miami, Florida: Cesar Gabriel Hernandez (CRD #3249722, Miami, Florida) On June 24, 2021, an Acceptance, Waiver, and Consent (AWC) was issued by FINRA in […]

On June 4, 2021, GRANT CHRISTOPHER BIRKLEY (GRANT BIRKLEY) CRD#: 2933533, formerly with SagePoint Financial of Barrington, Illinois, was barred by FINRA from acting as a broker or otherwise associating with a broker/dealer firm. Without admitting or denying FINRA’s findings, GRANT CHRISTOPHER BIRKLEY consented to the sanction and to the entry of findings that he […]