Two National Securities Corporation Clients File Disputes About Vincent Villani's Private Placement Sales Soreide Law Group provides you with the following update regarding securities broker Vincent John Villani (CRD#: 4296670, New York, New York). Evidently, Villani worked for securities firms Joseph Gunnar Company LLC (2012 to 2014) and National Securities Corporation (2014 to present). Notably, […]

Regulator Issues Sanctions To MassMutual Broker Matthew White Soreide Law Group is evaluating possible investor disputes concerning Matthew Leon White (CRD#: 5365185, Little Rock, Arkansas). Evidently, the securities broker worked for securities firms Northwestern Mutual investment Services (January 2009 to June 2015) and MML Investors Services “MassMutual” (June 2015 to June 2018). Notably, he is […]

FINRA Investigating LPL Broker Mike Lancaster The Financial Industry Regulatory Authority (“FINRA”) reports troubling information in regard to securities broker Michael “Mike” Joseph Lancaster (CRD#: 1353552, Tampa, Florida). Namely, the securities broker, who worked for LPL Financial LLC from May 2011 to February 2021, appears to be under FINRA investigation relating to an investor complaint. […]

On July 29, 2021, DANIEL JAMES O'NEILL (DAN O'NEILL CRD#: 1358245), according to FINRA’s BrokerCheck, was named a respondent in a FINRA complaint alleging that he excessively and unsuitably traded one of his client's accounts.  O’Neill was formerly listed with AEGIS CAPITAL CORP. of Melville, New York. The FINRA complaint alleges that DANIEL JAMES O'NEILL […]

FINRA Complaint Center File a FINRA Complaint The Financial Industry Regulatory Authority or “FINRA” offers an investor complaint program where you can file complaints against brokers and brokerage firms that are registered with FINRA. FINRA has the power to take disciplinary action against brokers and their firms that are members. They can also impose sanctions […]

Securities Broker Mike Patatian Involved In Investor Disputes, Facing Disciplinary Action Soreide Law Group provides you with the following update regarding securities broker Megurditch “Mike” Patatian (CRD#: 4047060, Charlotte, North Carolina). Specifically, the securities broker, who worked for Western International Securities Inc. from April 2013 to April 2020, faces a FINRA complaint containing accusations of […]

Soreide Law Group has filed a FINRA arbitration on behalf of their client against LPL FINANCIAL LLC due in part to the alleged actions of their former registered representative, JAMES KENNETH COUTURE (James Couture), who was barred by FINRA in October of 2020. James Couture was arrested July 23, 2021, after backing out of a […]

On July 9, 2021, DOUGLAS EDWARD SZEMPRUCH, formerly with AEGIS CAPITAL CORP of Melville, New York, was suspended by FINRA for 12 months (7/19/2021-7/18/2022) and was ordered to pay restitution of $99,720.87. According to the FINRA report, without admitting or denying FINRA’s findings, DOUGLAS EDWARD SZEMPRUCH consented to the sanctions and to the entry of […]

On July 6, 2021, JOHN HENRY SWON IV (JOHN SWON) CRD#: 5591686, formerly with ROYAL ALLIANCE ASSOCIATES INC of Bloomington, Minnesota, was barred by FINRA from acting as a broker or otherwise associating with a broker/dealer firm.  John Swon was previously registered both as a broker and as an investment advisor. Without admitting or denying […]