Investors Of Cantella And Oppenheimer File Disputes About Broker David Pawloski It appears through Financial Industry Regulatory Authority (“FINRA”) BrokerCheck that there are six investors who brought disputes about securities broker David Pawloski (CRD#: 1438717, Red Bank, New Jersey). Evidently, Pawloski worked for Oppenheimer Co. from 2002 to 2018 and he joined Cantella Co. as […]

Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: GENEOS WEALTH MANAGEMENT, INC. (Respondent) The Claimant brings this action to recover investment losses due to the alleged recommendations of GENEOS WEALTH MANAGEMENT, and its Financial Advisor, Michael Osland. Osland is not named in this lawsuit. The lawsuit alleges that […]

Broker Andrew Pravlik Involved In Prospera Financial Client Disputes The Financial Industry Regulatory Authority (“FINRA”) reports troubling information regarding securities broker Andrew James Pravlik (CRD#: 2360456, Pittsburgh, Pennsylvania). FINRA BrokerCheck, which houses public information on securities brokers, shows that three investors filed disputes about Pravlik. Also, two securities firms disaffiliated with him amid misconduct allegations. […]

Broker Steven Schisler Facing Accusations From FINRA Regarding Unsuitable Transactions The Financial Industry Regulatory Authority (“FINRA”) reports some concerning information in regard to securities broker Steven Douglas Schisler (CRD#: 2367961, Grass Valley, California). Namely, FINRA lodged a complaint against the broker alleging that he made nine distinct violations of FINRA and NASD rules. Allegations include […]

Broker Andrew Roybal Facing Disputes From UnionBanc Investors Soreide Law Group has come across new information in regard to securities broker Andrew Ricardo Roybal (CRD#: 2675889, San Diego, California), who worked for UnionBanc Investment Services from 1997 to 2020 as both a financial advisor and securities broker. Namely, the Financial Industry Regulatory Authority (“FINRA”) BrokerCheck […]

Soreide Law Group is investigating the former Cetera Investment Services LLC, broker Ching-Yun Linda Fang (Linda Fang CRD# 1843163). Linda Fang, and other brokers, allegedly recommended Northstar Financial Services (Bermuda) Ltd. to their clients who have suffered significant investment losses. Soreide Law Group currently has nine separate actions against various brokers who sold Northstar Financial […]

On May 10, 2021, JOHN EDGAR SIMMONS JR (JOHN E SIMMONS JR) CRD#: 4878890, a former broker with LPL Financial in Gulf Breeze, Florida, was barred by FINRA from acting as a broker or otherwise associating with a broker-dealer firm. According to FINRA, without admitting or denying FINRA's findings, JOHN E SIMMONS JR consented to […]

Summit Brokerage Services Investors File Arbitration Claims About Securities Broker Norman Robbins Soreide Law Group has come across concerning information in regard to securities broker Norman Arnold Robbins (CRD#: 731352, Boca Raton, Florida). Namely, six investors brought complaints or FINRA Arbitration Claims alleging sales practice violations by Robbins. It appears that recent disputes focus on […]

LPL Investors Take Issue With Kevin McCallum's Medley Capital Corp Investment Recommendations The Financial Industry Regulatory Authority (“FINRA”) reports new information in regard to securities broker Kevin Marshall McCallum (CRD#: 2222586, Birmingham, Alabama). Namely, five investors brought disputes in regard to this securities broker, who worked for LPL Financial LLC from May 2012 to July […]