Soreide Law Group, based in South Florida, obtained the following information on the former Florida broker from FINRA’s website under, “Disciplinary and Other FINRA Actions” from January of 2020. ROBERT FREDERICK GENITO (CRD# 4760338) was barred by FINRA from acting as a broker or otherwise associating with a broker/dealer firm on November 22, 2019. According […]

UBS Broker Teresa Bravo Allegedly Recommends Bad Investments Investor Alert! The Financial Industry Regulatory Authority (FINRA) reports troubling allegations of sales practice violations by UBS Financial Services Inc. broker Teresa Bravo [CRD#: 1575928, San Juan, Puerto Rico]. Apparently, at least 27 clients disputed the sales practices of the securities broker. Altogether, these disclosures indicate that […]

Ausdal and Madison Avenue Clients Take Aim At Broker David Geake Soreide Law Group is investigating potential investor claims of bad business practices by securities broker David Geake [CRD#: 3088891, Northbrook, Illinois]. Notably, Financial Industry Regulatory Authority (FINRA) BrokerCheck reports that no less than 6 clients contested the securities recommendations or sales of the securities […]

Soreide Law Group, based in Pompano Beach, Florida, obtained the following information on FINRA’s website under, “Discipline and Other FINRA Actions” January 2020: CLARK MORRIS NOBIL (CRD#: 348552) Miami Beach, Florida, was barred from association with any FINRA member in all capacities on November 19, 2019. Without admitting or denying FINRA’s findings, CLARK MORRIS NOBIL […]

Investors Suggest Joseph Gunnar CEO Joseph Alagna Failed To Supervise Investors have come forward with complaints about securities broker Joseph Alagna Jr. [CRD#: 1840339, New York, New York]. Apparently, the securities broker, who currently serves as Chief Executive Officer of Joseph Gunnar, discloses 3 investor disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Apparently, Joseph […]

RBC Broker Dan Peltier Fined, Suspended For Stock Manipulation Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports troubling allegations of sales practice violations by RBC Capital Markets securities broker Dan Peltier [CRD#: 2677761, Stillwater, Minnesota]. Not only has FINRA sanctioned the securities broker, but at least 3 clients disputed his sales practices. Altogether, these […]

Did you buy "Regional Healthcare Properties Preferred Stock" from Stephen Brandon Anderson of North Carolina? Soreide Law Group, and their co-counsel Kyros Law, have filed a FINRA arbitration claim seeking damages on behalf of investors in Regional Healthcare Properties Preferred Stock through Stephen Brandon Anderson (Mr. Anderson was not named as a party in this […]

Santander Securities' Jaime Echandi Allegedly Sold Bad Puerto Rico Bonds And Funds The Financial industry Regulatory Authority (“FINRA”) reports myriad investors disputing the sales practices of former Santander Securities LLC broker Jaime Echandi (aka “Jaime Santiago”) (CRD#: 2464033, Guaynabo Puerto Rico). Specifically, his BrokerCheck report shows that 23 investors complained since 2014, with most disputes […]

Purshe Kaplan, FINRA Investigate Brian Bogart For Involvement In Private Fund Soreide Law Group is reviewing possible investor disputes against securities broker Brian Bogart (CRD#: 1186538, McLean, Virginia). Notably, Bogart’s Financial Industry Regulatory Authority (“FINRA”) BrokerCheck profile discloses two regulatory events, two bad employment breakups, and at least twelve client disputes. Here’s a brief summary […]