DARIO SUAREZ Losses? Soreide Law Group is investigating possible investor claims against UBS Financial Services securities representative and sales supervisor Dario Suarez (CRD#: 1143417, Ponce, PR). Alarmingly, FINRA BrokerCheck reports 72 investor claims regarding Suarez’s sales practice violations. Investors brought a steadily increasing amount of disputes against Suarez since 2014 regarding unsuitable Puerto Rico bonds. […]

LEGEND SECURITIES' STEVEN MEYER Allegedly Churns Investors' Accounts The New Jersey Bureau of Securities announced on July 20, 2018 that it revoked the broker-dealer agent registration of Legend Securities broker Steven Meyer (CRD#: 4798400, Staten Island, New Jersey). The Order revoking Meyer’s licensure comes as a result of the Financial Industry Regulatory Authority (“FINRA”) barring […]

MARCUS E BOGGS (Marcus Boggs) (CRD#: 5055667), a 49 years-old former senior financial advisor with Merrill Lynch, was charged on August 27, 2019, with defrauding clients out of approximately $3 million. According to news reports one of the clients had received a $5 million payout for a wrongful conviction of murder and rape. Known as […]

Soreide Law Group has filed a FINRA arbitration on behalf of their client (Claimant) against, CETERA ADVISOR NETWORKS, LLC (Respondent). Their former registered representative, David Rockwell, is not named in this lawsuit. The Claimant has been retired since 2013. He is a conservative investor who relied upon the financial guidance of his former financial advisor, […]

Losses From Robert Rotunno? The Financial Industry Regulatory Authority (“FINRA”) BrokerCheck discloses alarming allegations of sales practices violations committed by securities broker Robert Rotunno (CRD#: 4025263, New York, NY). Notably, 11 disclosures about him concern disputes from clients of Laidlaw and Company (UK) Ltd. (“Laidlaw”), where Rotunno worked from 2004 to 2016, and 1 concerns […]

Losses From MICHAEL FISHER, WELLS FARGO? Soreide Law Group is investigating possible claims on behalf of investors against prior Wells Fargo Advisors, LLC representative Michael Fisher (CRD#: 4056114, Melville, New York). Fisher, who worked for Wells Fargo from 2012 to 2016 and who since affiliated with Ameriprise Financial Services, discloses through FINRA BrokerCheck that four […]

FINRA Bars Bobby Coburn The Financial Industry Regulatory Authority (“FINRA”) announced August 26, 2019 that it barred Securities America broker Bobby Coburn (CRD#: 1464789, Fort Meade, Florida) from the securities industry for non-cooperation in a FINRA investigation. Evidently, the broker, who Securities America discharged on March 20, 2019 after allegations of misconduct, executed a Letter […]

Did Debra Lambert Excessively Trade Your Account? The Financial Industry Regulatory Authority (“FINRA”) reports troubling allegations against Raymond James and Merrill Lynch securities broker Debra Lambert (CRD#: 2238553, The Villages, Florida). Notably, at least 1 Raymond James client and 2 Merrill Lynch clients filed disputes contesting Lambert’s sales practices. Here’s a summary of the allegations […]

ANTOINE NABIH SOUMA (Antoine Souma) (CRD#: 4210987), formerly listed with J.P. Morgan Securities in Los Angeles, ranked 76th. on Barron’s Top 100 Financial Advisors in 2016, and headed a team managing $3 billion in client funds. Antoine Souma is currently a broker with Morgan Stanley in Los Angeles. According to a Customer Dispute listed on […]