Broker Sean Parikh Fined For Excessive Trading, Faces Aegis Client Disputes Alleging Unsuitability Soreide Law Group comes to you with an update regarding the FINRA BrokerCheck disclosures relating to Aegis Capital Corp securities broker Kishan Parikh (“Sean Parikh”) (CRD#: 5506554, New York, New York). It appears that FINRA suspended Parikh as a securities broker between […]

Soreide Law Group has been contacted by investors who have experienced losses in LJM Capital Preservation and losses in FS Energy due to the alleged recommendations of their financial advisor/broker: JOHN STEPHEN PRONOVOST (JOHN S PRONOVOST) Since 2/26/21, JOHN S PRONOVOST has been listed with, INFINEX INVESTMENTS, INC. of Watertown, Connecticut.  He was previously registered […]

Broker Gordon Bryan (Wells Fargo) Suspended By FINRA, Accused Of Excessive Trading Soreide Law Group discusses BrokerCheck disclosures relating to securities broker Gordon Leonard Bryan (CRD#: 1292315, Terre Haute, Indiana). Notably, FINRA issued Bryan a two-month suspension and a $5,000 fine to resolve allegations that he engaged in an undisclosed outside business activity. In addition, […]

FINRA Bars Securities Broker Brian Radoo, And Investors File Disputes About Him The Financial Industry Regulatory Authority (FINRA) contains important regulatory sanctions and client disputes involving securities broker Brian Radoo (CRD#: 2558458, Tucson, Arizona). It appears on BrokerCheck that FINRA barred Radoo as a securities broker in December 2020. Six investors filed disputes alleging sales […]

Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: KALOS CAPITAL, INC., and their registered representative, ERIC PETER WESCHKE (Respondents). The Claimant brings this action to recover investment losses experienced due to the Respondents alleged recommendations of unsuitable alternative investments, business development corporations (BDCs) and real estate investment trusts […]

Centaurus Financial Broker Marty Dickerson (Centaurus Financial) Facing Accusations Of Unsuitable Trading, Negligence Soreide Law Group comes to you with important information regarding securities broker Marcious Dickerson (“Marty Dickerson”) (CRD#: 1053338, Livonia, Michigan). According to Financial Industry Regulatory Authority (FINRA) BrokerCheck, four investors filed disputes about Dickerson. Three of those disputes concern Dickerson’s actions at […]

Securities Broker Adam Summers Terminated By Stifel Nicolaus, Referenced In Investor Dispute Soreide Law Group provides you with an update on securities broker Adam Petersen Summers (CRD#: 5587343, Frankfort, Illinois). It appears on Financial Industry Regulatory Authority (FINRA) BrokerCheck that Summers worked for securities firms Wells Fargo Clearing Services LLC (October 2010 to January 2021), […]

Cetera Investment Services Clients Allege Unsuitable REITs By Mark Senofonte Financial Industry Regulatory Authority (FINRA) BrokerCheck shows that seven investors filed disputes about securities broker Mark Angelo Senofonte (CRD#: 2038108, Doylestown, Pennsylvania). These disputes mainly concern Senofonte’s actions at Cetera Investment Services, where Senofonte worked as a securities broker from February 2007 to August 2021. […]

Lance Walston Involved In Dominion Portfolio Management Client Disputes Soreide Law Group comes to you regarding investor disputes involving securities broker Lance Colby Walston (CRD#: 4440958, San Antonio, Texas). Namely, the Financial Industry Regulatory Authority (FINRA) BrokerCheck profile for Walston contains six disclosures, all concerning investor disputes. Four of those disputes concern options transactions at […]