Voya, ING Clients File Disputes About Securities Broker Richard Sall Evidently, there are three Voya Financial Advisors (formerly ING) investor disputes on the Financial Industry Regulatory Authority (“FINRA”) BrokerCheck report of securities broker Richard Harris Sall (CRD#: 1515945, Duluth, Minnesota). It appears that Sall maintained employment with Amev Investors, Voya Financial Advisors (1990 to 2020) […]

Merrill Lynch Client Files Dispute About Richard Sica Investment loss recovery counsel at Soreide Law Group provide you with the following information regarding securities broker Richard Sica (CRD#: 1756940, Ridgefield, Connecticut). Evidently, this person works for Merrill Lynch as both a financial advisor and securities broker. Apparently, there are four investor disputes on Sica’s record, […]

Aegis Clients Call Attention To Securities Broker Thomas Duggan In Investor Disputes Financial Industry Regulatory Authority (“FINRA”) BrokerCheck contains important disclosures regarding securities broker Thomas Duggan (CRD#: 2757615, Melville, New York) that is relevant to investors. Specifically, investor disputes alleging excessive trading, unsuitable trading and unauthorized trading are on the record of the securities broker, […]

Raymond James Clients File Disputes About Securities Broker John Cassandra Soreide Law Group provides you with the following information in regard to securities broker John Edward Cassandra (CRD#: 4270866, Boynton Beach, FL). Evidently, Cassandra, who works for Raymond James Financial Advisors as financial advisor (2009 to present) and securities broker (2004 to present), is involved […]

Pruco Securities Investor Files Dispute About Broker James Prosperi The Financial Industry Regulatory Authority (“FINRA”) shows on BrokerCheck that investors filed disputes about securities broker James Vincent Prosperi (CRD#: 2337125, Pittsford, New York). Also, BrokerCheck reports misconduct allegations associated with Prosperi’s departure from Pruco Securities and Merrill Lynch. Here’s more about the securities broker. Pruco […]

Portfolio Advisors Alliance Client Files Dispute About Barred Broker Kerri Wasserman Soreide Law Group provides you with the following update regarding securities broker Kerri Lynn Wasserman-Nir (CRD#: 2376090, New York, NY). Evidently, United States Securities Exchange Commission barred Wasserman in financial advisor and securities broker capacities in January 2020. This comes after the regulator alleged […]

Securities Broker Maryann Bessler Involved In LPL Financial Investor's Dispute The Financial Industry Regulatory Authority (“FINRA”) BrokerCheck report for securities broker Maryanne Virginia Bessler (CRD#: 2192223, Lynbrook, New York) contains investor disputes and a regulatory action. It seems that this securities broker, who works for LPL Financial as financial advisor and securities broker (October 2011 […]

JORGE ANTONIO SONVILLE (JORGE A SONVILLE) CRD#: 2558540, had been previously registered both as a broker and as an investment advisor with Merrill Lynch of Miami, Florida, for 26 years.  According to FINRA’s BrokerCheck, on June 10, 2021, JORGE A SONVILLE, was discharged from Merrill Lynch, Pierce, Fenner & Smith Incorporated, following allegations of, “Conduct […]

Soreide Law Group, on behalf of our clients (Claimants), filed two separate lawsuits against: FIRST ALLIED SECURITIES, INC., and their former registered representative, CHAD RYAN BARANCYK (Respondents) The Claimants, residing in Indiana and Florida, bring these actions to recover losses suffered due to the alleged recommendations of FIRST ALLIED SECURITIES, and their former registered representative, […]