Morgan Stanley Investor Disputes Concern Securities Broker Bill Collins Soreide Law Group comes to you with new information regarding securities broker William Lief Collins (CRD#: 2787822, Birmingham, MI). Evidently, the Financial Industry Regulatory Authority (“FINRA”) indicates that Collins is a Morgan Stanley financial advisor (June 2010 to present) and Morgan Stanley securities broker (May 2010 […]

Securities Broker Thomas Chandler Resigns From Kovack Securities Over Misconduct Allegations FINRA BrokerCheck shows important information in regard to securities broker Thomas Wayne Chandler (CRD#: 1082136, Fort Lauderdale, Florida). Evidently, Chandler worked for securities firms Merrill Lynch, LPL Financial (2014 to 2018) and Kovack Securities (2019 to 2020). Notably, both Kovack Securities and LPL Financial […]

Oppenheimer Securities Broker, Financial Advisor David Brandt Involved In Investors' Disputes The Financial Industry Regulatory Authority (“FINRA”) BrokerCheck report for securities broker David Phillip Brandt (CRD#: 28908, St. Louis, Missouri) contains investor disputes. Evidently, Brandt is an Oppenheimer securities broker (January 2003 to present) and an Oppenheimer financial advisor (November 2007 to present). Let’s take […]

Soreide Law Group, based in Florida, has obtained the following information on this Florida broker on FINRA’s website under, “Disciplinary and Other FINRA Actions June 2021.” Please note the following: The OHO (Office of Hearing Officers) issued the following decision, which has been appealed to or called for review by the NAC (National Adjudicatory Council) […]

Suitability The Focus Of Allied Millennial Partners Investor's Dispute Involving Broker Matthew Platnico Soreide Law Group comes to you with an update regarding investment disputes involving securities broker Matthew Eric Platnico (CRD#: 2102086, New York, New York). It appears that Platnico worked for Oppenheimer as financial advisor and securities broker. Now, he works for Millennial […]

FINRA, NJ Securities Bureau Sanction Raymond James Broker Lance Armstrong The New Jersey Bureau of Securities revoked the securities agent and investment adviser registrations of Lance Roman Armstrong (CRD#: 4592423, Columbia, New Jersey), a former Raymond James Financial Services securities broker. The NJ order comes on the heels of Financial Industry Regulatory Authority’s decision to […]

HTK Client Files Dispute About Securities Broker Sam Paolini New information comes from Financial Industry Regulatory Authority (“FINRA”) BrokerCheck regarding securities broker Sam Peter Paolini (CRD#: 6087086, New York, New York). Evidently, the securities broker worked for securities firm Morgan Stanley from August 2012 to February 2014, and securities firm Hornor Townsend Kent Inc. (“HTK”) […]

Soreide Law Group obtained the following information from FINRA’s June 2021 Disciplinary report on broker: Joseph Albert Ambrosole (CRD #5732488, Staten Island, New York) On April 7, 2021, an Acceptance, Waiver, and Consent (AWC) was issued in which Joseph Albert Ambrosole was fined $5,000, suspended from association with any FINRA member in all capacities for […]

Broker Todd Micciche (CUNA Brokerage Services) Involved In Investor Dispute Investment loss recovery counsel at Soreide Law Group provide you with this update in regard to securities broker Todd Douglas Micciche (CRD#: 4740375, Portland, Oregon). It appears that Micciche worked for Key Investment Services LLC from 2011 to 2015 as financial advisor and securities broker. […]