The Florida-based Soreide Law Group obtained the following information from FINRA’s website on the following Florida broker/financial advisor under, “Disciplinary and Other FINRA Actions,” November, 2021: Athanasios Tomaras (CRD #2722538, Oldsmar, Florida) On September 7, 2021 an Acceptance, Waiver and Consent (AWC) was issued in which Athanasios Tomaras was fined $5,000 and suspended from association […]

The Florida-based, Soreide Law Group, obtained the following information from FINRA’s Disciplinary Actions, November of 2021: The OHO issued the following decision, which has been appealed to or called for review by the NAC as of September 31, 2021. The NAC may increase, decrease, modify or reverse the findings and sanctions imposed in the decision. […]

Soreide Law Group has filed a FINRA arbitration against:   NETWORK 1 FINANCIAL SECURITIES, INC (Respondent)   The Claimant (our client) resides in Pennsylvania. The lawsuit states that in 2019, the Claimant received a cold call from Charles Vincent Malico, who has been a registered representative of NETWORK 1 FINANCIAL SECURITIES since 2016.  Malico is […]

Soreide Law Group, based in South Florida, has obtained this information on the following Florida broker from FINRA’s website under “Disciplinary and Other FINRA Actions,” November 2021. On September 21, 2021, Marceliano Macias (CRD #6997916, Sunrise, Florida) was issued an Acceptance, Waiver and Consent (AWC) in which Macias was assessed a deferred fine of $7,500 […]

Cambridge Investment Research Clients Allege Unsuitable Transactions By Securities Broker Dale Wright Soreide Law Group investigates whether to bring possible disputes on behalf of investors against securities broker Dale Edward Wright (CRD#: 1142615, Henrico, Virginia). Notably, ten investors made disputes involving Wright's sales practices. Not only that, but the Commonwealth of Virginia fined Wright $50,000 […]

FINRA Bars Edward Jones Securities Broker Anthony Hall Because Of Alleged Investigation Misconduct Notably, the Financial Industry Regulatory Authority (FINRA) barred securities broker Anthony Glenn Hall (CRD#: 5546165, Dayton, Texas) for not cooperating with FINRA investigators. Not only that, but BrokerCheck shows that Edward Jones, who employed Hall from 2008 to 2019, disaffiliated with him […]

Berthel Fisher Clients Allege Unsuitability, Misrepresentation By Securities Broker Steve Cummings Soreide Law Group is reviewing potential investor claims to bring against Berthel Fisher Company Financial Services and securities broker Steve Jeffrey Cummings (CRD#: 2274017, Fort Deposit, Alabama). Evidently, four clients filed disputes about Cummings alleging sales practice violations on alternative investments. Read on to […]

Soreide Law Group has filed a FINRA arbitration on behalf of their client (Claimant) against: LPL FINANCIAL LLC (Respondent) The Claimant brings this action to recover alleged losses due to JP Morgan structured notes sold by Financial Advisor, Brian Singleton. The lawsuit states that the Respondent allegedly understood that the Claimant did not want to […]

ONESCO Broker Jesse Kovacs Suspended By FINRA, Accused Of Sales Practice Violations By Investors FINRA BrokerCheck contains important disclosures regarding securities broker Jesse Todd Kovacs (CRD#: 5047161, Forked River, New Jersey). Specifically, FINRA suspended Kovacs as a securities broker in September 2020 to resolve allegations that he engaged in a private securities transaction in violation […]