Investors Complain About Morgan Stanley Brokers Anthony Mampieri, James Willer, Thomas Srachta, Trent Ahlers Anthony Ralph Mampieri (CRD#: 1653703, Boca Raton, Florida) is a Morgan Stanley Smith Barney securities representative. Supposedly, on October 13, 2016, a customer of Morgan Stanley brought a customer dispute in regard to Anthony Mampieri’s sales practices. Allegedly, from 2011 to […]

ATTENTION INVESTORS: FINRA Fines, Suspends Hillard Lyons Broker CHRISTOPHER BENNETT The Financial Industry Regulatory Authority (“FINRA”) suspended J.J.B. Hilliard, W.L. Lyons LLC broker Christopher Duke Bennett (CRD#: 2510231, Louisville, Kentucky) for exercising discretion in investment accounts without written authorization. Evidently, Bennett executed a Letter of Acceptance, Waiver and Consent (“AWC”) #2017054060301 on December 17, 2018, […]

INVESTOR ALERT! Customer Disputes Involving Robert W. Baird Brokers MARK FALCI, MICHAEL COLLINS Soreide Law Group is investigating claims on behalf of those who have invested with Robert W. Baird & Co. incorporated (CRD#: 8158, Milwaukee, Wisconsin), which is a FINRA and SEC regulated brokerage firm and investment adviser firm doing business throughout the United […]

INVESTOR ALERT: Misconduct Allegations Against Securities America Brokers THOMAS ABBOUD, KENNETH FOREMAN, ROBERT MITCHELL JR. Securities America, Inc. (CRD#: 10205, Lavista, Nebraska), which is a brokerage firm regulated by FINRA’s Kansas City district office, revealed through FINRA BrokerCheck that several of its brokers allegedly engaged in conduct that could have both run afoul of FINRA […]

Soreide Law Group has obtained the following information from FINRA’s website under “Disciplinary and Other FINA Actions,” dated March 2019: LIJU "JOE" VARGHESE  (CRD #4197007, New Hyde Park, New York)   was barred from association with any FINRA member in all capacities by FINRA. Without admitting or denying the findings, Varghese consented to the sanction […]

Soreide Law Group, based in Pompano Beach, Florida, has filed a FINRA arbitration on behalf of their client (Claimant) against the Boca Raton, Florida firm: NEWBRIDGE SECURITIES CORPORATION (Respondent) The Claimant is an 80 year-old woman living in Florida. She is hoping to recover financial losses due to the alleged misconduct of the NEWBRIDGE SECURITIES […]

Soreide Law Group Investigating Wells Fargo Advisors Brokers WILLIAM SWETT, ROY LE BLANC, KEVIN LYNAR Soreide Law Group is investigating claims on behalf of those who invested with brokers of Wells Fargo Clearing Services, LLC (CRD#: 19616, St. Louis, Missouri), also known as Wells Fargo Advisors.  Specifically, the Financial Industry Regulatory Authority (“FINRA”) reports that […]

Soreide Law Group has been contacted by investors who have experienced losses due to their broker/dealers recommending the highly risky, non-traded REIT, NorthStar Healthcare to their investors. In a recent letter to their stockholders, NorthStar Healthcare Income, Inc. wrote to the investors that they were updating information regarding the investment in shares of NorthStar Helthcare’s […]

Soreide Law Group is currently investigating on behalf of investors who suffered investment losses, the UBS Yield Enhancement Strategy Program (UBS YES Program). UBS offered the YES Program as an option-based trading strategy.  The investors committed a certain amount of their portfolios to this program. UBS allegedly offered these clients a safe and low-risk investment […]