Investors Take Aim At Adam Belardino Over Insurance, BDC Sales Soreide Law Group is investigating possible investor claims against securities broker Adam Belardino (CRD#: 5221927, Elmsford, New York). Evidently, the Financial Industry Regulatory Authority (“FINRA”) reports that five or more investors contested the sales practices of the securities broker, who worked for MML Investors Services […]

Geneos Clients Indicate That Michael Osland Sold Unsuitable Investments Soreide Law Group is reviewing the possible advancement of investor lawsuits against securities broker Michael John Osland (CRD#: 1791642, Scottsdale, Arizona). Namely, the securities broker has been involved in two investor disputes involving allegations of his sales practice violations at Geneos Wealth management where he has […]

Coastal Equities Inc., without admitting or denying FINRA’s findings, consented to the sanctions and to the entry of findings that it failed to reasonably supervise a registered representative who recommended excessive and unsuitable trades in four client accounts.  FINRA also stated that each client was a retired senior investor with a moderate risk tolerance. According […]

Clients Of Fidelity Brokerage Services Take Aim At Anthony Mesquit The Financial Industry Regulatory Authority (“FINRA”) reports troubling information regarding securities broker Anthony Mesquit (CRD#: 5210309, Jacksonville, Florida). Apparently, Mesquit worked for Strategic Advisers from 2012 to 2018, joined Fidelity Brokerage Services as a securities broker in January 2007, and is a Fidelity Personal and […]

Securities Broker Nick Son Allegedly Sold Or Recommended Unsuitable Investments To Aegis Clients According To Disputes Soreide Law Group provides you this investor alert in regard to securities broker Nick Son (CRD#: 1178523, New York, New York). Notably, the securities broker, who worked for National Securities Corporation and Aegis Capital Corp, is facing disputes from […]

Title goes here Financial Industry Regulatory Authority BrokerCheck contains a number of alarming concerns surrounding the sales practices of financial advisor Kirk Badii (CRD#: 5829768, Los Angeles, California). In summary, five investors brought lawsuits or complaints about the broker, who worked for Cantella (2018 to 2020), Raymond James (2018) and UBS Financial Services (2012 to […]

Broker John Carroll Involved In Berthel Fisher Investors' Disputes The Financial Industry Regulatory Authority (“FINRA”) reports troubling accusations by investors against securities broker John W. Carroll (CRD#: 41769, Maumee, Ohio). Most importantly, four investors brought disputes about the securities broker, who worked for Berthel Fisher from 2005 to 2018 before the firm disaffiliated with him […]

Western International Terminates Broker Stu Godin For Borrowing The investment loss lawyers at Soreide Law Group provide you this investor alert in regard to securities broker Stuart M. Godin (CRD#: 223476, Los Angeles, California). Notably, Stu Godin worked for securities firms including RBC Capital Markets (2006 to 2016), Financial West Group (2016 to 2017) and […]

Broker Dennis Ayre Involved In Disputes Over Foresight Energy Investments Soreide Law Group is investigating possible investor claims to be brought against securities broker Dennis Ayre (CRD#: 5365176, Beverly Hills, California). Notably, seven investors have come forward to dispute the actions of Ayre, who worked for Merrill Lynch, Oppenheimer (2014 to 2017) and Hilltop Securities […]