RUDY ANGUIANO is currently registered both as a broker and as an investment advisor with ALEXANDER CAPITAL LP and ALEXANDER CAPITAL WEALTH MANAGEMENT LLC of Red Bank, New Jersey since 1/9/2026. Anguiano was previously listed with LPL Financial of Brea, California from 04/04/2022 - 12/18/2025. In addition, he was listed with AMERIPRISE FINANCIAL SERVICES LLC […]

MARIO L MARTINEZ formerly of MERRILL LYNCH, PIERCE, FENNER & SMITH INC of Ft. Lauderdale, FL was permanently barred by FINRA from acting as a broker or otherwise associating with a broker/dealer firm on 5/1/2025. Martinez was registered as a broker with MERRILL LYNCH, PIERCE, FENNER & SMITH INC of Ft. Lauderdale, FL from 10/23/2015 […]

Cape Securities Inc, a Georgia-based broker/dealer, has been censured by the Financial Industry Regulatory Authority (FINRA) and ordered to pay $145,072.62.

Soreide Law Group was recently contacted by investors who experienced financial losses due to the alleged recommendation of Inspired DSTs by their broker, JOSEPH KOCSIS (JOE KOCSIS) currently with QUINCY WELLS CAPITAL, LLC of Chicago, Illinois since 5/1/2026. Before that Kocsis was registered as a broker with GREAT POINT CAPITAL LLC of Chicago, Illinois, from […]

NAFISSA DIALLO has been permanently barred from acting as a broker or otherwise associating with a broker/dealer firm with a start date of 2/23/2026. Diallo was previously registered both as a broker and as an investment advisor with WELLS FARGO CLEARING SERVICES, LLC of Washington DC from 11/14/2019 - 01/08/2026. According to FINRA’s BrokerCheck, available […]

Soreide Law Group has filed a FINRA arbitration on behalf of our clients (Claimants) against: ALLIANCE GLOBAL PARTNERS (Respondents). The Claimants are a married couple residing in Pennsylvania. The lawsuit states the Claimants are bringing this lawsuit to recover losses due to the alleged actions of the Respondent and their registered representative, MATT WARD. Ward […]

Soreide Law Group has been contacted by investors who may have experienced losses in the following DSTs (Delaware Statutory Trusts) through Four Springs Capital Trust as part of Section 1031 tax-deferred exchanges. Four Springs TEN31 Xchange Four Springs Capital Trust is a real estate investment trust (REIT) that acquires and manages single-tenant, net-leased properties for […]

CHRISTOPHER CHARLES LAFFEY (CHRISTOPHER C LAFFEY) is currently registered as a broker with ALEXANDER CAPITAL, L.P. of Red Bank, New Jersey, since 12/16/2015. According to FINRA’s BrokerCheck, which is available to the public on FINRA’s website, CHRISTOPHER C LAFFEY has 47 years of experience in the securities industry and has been listed with 10 firms.  […]

CHARLES HENRY GARRIDO (CHARLES HENRY GARRIDO JR, CHARLES H GARRIDO) is currently registered both as a broker and investment advisor since 10/30/2018 with A.G.P. / ALLIANCE GLOBAL PARTNERS of Chicago, Illinois. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, CHARLES H GARRIDO, has been in the securities industry for 42 years and […]