Soreide Law Group has filed a FINRA arbitration on behalf of their client (Claimant) against: SUMMIT BROKERAGE SERVICES, INC. (Respondent) The Claimant, residing in Illinois, alleges losses due to the actions of SUMMIT BROKERAGE SERVICES. The lawsuit alleges that the Respondent’s registered representative, VICTOR A. RIGONI III (VICTOR RIGONI ) CRD#: 4272056, solicited the Claimant […]

INVESTOR ALERT: FINRA Files Complaint Against Columbus Advisory Group’s MICHAEL MURPHY The Financial Industry Regulatory Authority (“FINRA”) announced that it filed a Complaint against Columbus Advisory Group, LTD securities representative Michael Patrick Murphy (CRD#: 2596905, New York, New York). Specifically, FINRA Department of Enforcement claims Murphy did not report a total of $6,000,000 in NY […]

The Financial Industry Regulatory Authority, Inc. (FINRA), according to news reports, has ordered RBC CAPITAL MARKETS to pay an 80 year-old client more than $50,000 following a FINRA arbitration panel ruling that the US broker/dealer of the Royal Bank of Canada violated FINRA rules and the laws of Florida. The FINRA arbitration panel ruled in […]

Soreide Law Group recently filed a FINRA arbitration on behalf of our client (Claimant) against: J.W. COLE FINANCIAL, INC. (Respondent) The Claimant resides in Arizona, and maintained accounts with J.W. COLE FINANCIAL, and their former Financial Advisor, KEVIN SCOTT PHILLIPS (CRD#: 1591468).  Phillips is not named in the lawsuit. The lawsuit alleges that J.W. COLE […]

Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: FIRST STANDARD FINANCIAL COMPANY, LLC (“FIRST STANDARD”), and their registered representative,  JOSEPH JOHN ORLANDO, JR. (“ORLANDO”), CRD# 2882204 The Claimant, a resident of Massachusetts, allegedly received a cold call on or about October of 2018, from FIRST STANDARD broker, JOSEPH […]

Soreide Law Group, based in Pompano Beach, Florida, has filed a FINRA arbitration on behalf of their clients (Claimants) against: HERBERT J. SIMS & CO. INC., and their former registered representative, ALAN APPELBAUM (Respondents). The Claimants, are a married couple, retired and living in Boca Raton, Florida. ALAN APPELBAUM (CRD# 500336), was an employee and […]

Soreide Law Group has filed a FINRA arbitration on behalf of our clients (Claimants) against the Respondent: SAGEPOINT FINANCIAL, INC.  The Claimants, a couple residing in Texas, maintained a relationship with Sagepoint Financial, advisor MICHAEL GLEN HILL (Michael Hill) CRD#: 3026108.  The Respondents were allegedly made aware that the Claimants did not want to take […]

ATTENTION INVESTORS: FINRA Suspends Foresters Equity Services’ John Ernst For Woodbridge Notes Sales The Financial Industry Regulatory Authority (“FINRA”) imposed a suspension and $5,000 fine against Foresters Equity Services broker John Ernst (CRD#: 1958252, San Diego, California) for selling away. Specifically, Ernst submitted a Letter of Acceptance, Waiver and Consent #: 2018057754401 on March 12, […]

JAMES CORNELIUS BYLENGA (JAMES C BYLENGA) CRD#: 705143, of Kalamazoo, Michigan, was barred by the Financial Industry Regulatory Authority Inc. (FINRA) from acting as a broker or otherwise associating with a broker-dealer firm on April 5, 2019. According to the FINRA report, without admitting or denying the findings, JAMES C BYLENGA consented to the sanction […]