UBS Broker Cary Moskowitz Allegedly Caused Investor's Losses Soreide Law Group is looking into potential investor disputes against securities broker Cary Moskowitz [CRD#: 1287997, New York, New York]. Notably, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck shows that 3 or more clients were allegedly wronged by the securities broker, who joined UBS in 2008. Supposedly, clients […]

Joseph Stone Broker Erik Pica Allegedly Steals $200,000 From Client Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports alarming allegations of improprieties by Joseph Stone Capital securities broker Erik Pica [CRD#: 4829533, New York, New York]. Namely, FINRA filed a complaint against Pica alleging his conversion of client funds. In addition, 7 clients  brought […]

Broker Gabe Block's License Revoked By NJ Securities Bureau Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) shows troubling information in regard to securities broker Gabriel “Gabe” Block (CRD#: 2103543, Red Bank, New Jersey). Not only has New Jersey Bureau of Securities issued a $750,000 fine to Block and revoked his license for allegedly engaging […]

Andrew Garret Clients Indicate John Conroy Was Negligent, Breached Fiduciary Duty Soreide Law Group is reviewing possible investor claims against securities broker John Conroy (CRD#: 3008995, New York, New York). Apparently, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck shows that at least 6 clients raised serious concerns about the securities broker who worked for Andrew Garrett […]

Broker Robert DePalo Barred Following Fraud Conviction Investor Alert! Securities broker Robert DePalo (CRD#: 2946313, Greenwich, Connecticut) is no longer allowed to act as a broker or investment advisor, according to the Securities and Exchange Commission (“SEC”), who barred DePalo after he was convicted of fraud. Not only that, but FINRA barred the broker and […]

Stifel Nicolaus Broker Barred After Pleading Guilty To Fraud Soreide Law Group is investigating potential investor claims for losses caused by securities broker Mitchell Yanow (CRD#: 2148171, Boca Raton, Florida). Notably, the Securities and Exchange Commission (“SEC”) barred the securities broker, who associated with Stifel, Nicolaus & Company, Incorporated (“Stifel Nicolaus”) from 2015 to 2018. […]

Morgan Stanley's Barry Connell Allegedly Misappropriated Investor Funds Soreide Law Group is investigating potential investor claims against securities broker Barry Connell (CRD#: 3070984, Ridgewood, New Jersey). Notably, the Financial Industry Regulatory Authority (“FINRA”), who barred the broker, reports through BrokerCheck that a slew of clients filed disputes about him.  Mainly, these clients allege Connell’s misdeeds […]

Broker Phillip Schreiner Fails To Comply With FINRA Soreide Law Group is investigating potential investor claims against broker Phillip Schreiner (CRD#: 4742497, San Antonio, Texas). Notably, Financial Industry Regulatory Authority (“FINRA”) issued another sanction to the broker, this time for allegedly failing to pay an arbitration award or prove his compliance therewith. Evidently, this comes […]

Broker Daniel Levine Barred By SEC, FINRA and Colorado Division of Securities Former Morgan Stanley broker Daniel Todd Levine (CRD#: 2874319, Greenwood Village, Colorado) is one of the latest securities brokers to be expelled from the industry. Evidently, Securities and Exchange Commission (“SEC”), Financial Industry Regulatory Authority (“FINRA”) and Colorado Division of Securities barred the […]