Investment Disputes Allege That Ken Hutkin Made Unsuitable Trades Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports troubling information in regard to securities broker Kenneth Marc Hutkin (CRD#: 1344519, New York, New York). Particularly, four investors filed disputes about the securities broker, who worked for Morgan Stanley from 2010 to 2018 and now works […]

Soreide Law Group is investigating client losses in Infinity Q Capital Management LLC (Infinity Q), and in particular, Infinity Q Diversified Alpha Fund Investor Class (IQDAX), due to the recommendations of brokers. In a recent article in InvestmentNews, they stated that the $1.8 billion fund has halted redemptions by investors due to the alleged portfolio […]

On February 19, 2021, SCOTT WAYNE REED (SCOTT W REED) CRD#: 3007033, a former broker from Wells Fargo of Scottsdale, Arizona, was barred by FINRA for allegedly selling away from the firm. Without admitting or denying FINRA’s findings, SCOTT WAYNE REED consented to the sanction and to the entry of findings that he allegedly participated […]

Securities Broker Scott Williams (Raymond James, LPL Financial) Involved In Investor Disputes Soreide Law Group provides you with this Investor Alert in regard to securities broker Scott D. Williams (CRD#: 2330693, Franklin Tennessee). Notably, the Financial Industry Regulatory Authority (“FINRA”) reports that the securities broker, who worked for firms Raymond James (2011 to 2017) and […]

Centaurus Broker Marc Korsch Possibly Sold Bad Investments The Financial Industry Regulatory Authority (“FINRA”) reports troubling information in regard to securities broker Marc F. Korsch (CRD#: 5525226, Sarasota, Florida). Namely, this securities broker, who worked for Trustmont Financial Group Inc. (2011 to 2014) and Centaurus Financial Inc. (2014 to 2021), is involved in investor disputes […]

Soreide Law Group is currently investigating claims against the broker/investment advisor, currently listed with Morgan Stanley of Beverly Hills, California: BARRY MARTIN SPEYER CRD#: 432002 According to FINRA’s BrokerCheck, available to the public on FINRA’s website, BARRY MARTIN SPEYER has been in the securities industry for 50 years.  Speyer has 9 “Disclosures” on his FINRA […]

Securities Broker Jim Allen Involved In Suitability Disputes Soreide Law Group is reviewing whether to bring possible investor lawsuits against James “Jim” Allen (CRD#: 2287824, Chicago, Illinois). The securities broker worked for Citigroup Global Markets (2007 to 2017), Sanctuary Securities (2017 to 2020) and Oppenheimer (2020 – present). Evidently, two investors brought investment disputes about […]

Soreide Law Group (888-760-6552) obtained the following information on FINRA’s website under, “Disciplinary and Other FINRA Actions January 2021.” David Todd Phillips (CRD #3094195, Gilbert, Arizona) On November 18, 2020, FINRA issued an Acceptance, Waiver and Consent (AWC) in which David Todd Phillips was assessed a deferred fine of $5,000 and suspended from association with […]

APOSTOLOS NICOLAS PITSIRONIS (APOSTOLOS  PITSIRONIS, PAUL PITSIRONIS) CRD#: 2804907, a former broker previously registered with Janney Montgomery Scott LLC of Melville, NY, was barred by FINRA in September of 2019, and is now facing criminal charges according to a recent article in Financial Advisor IQ.  According to the article, Pitsironis is accused of misappropriating hundreds […]