Soreide Law Group has filed a FINRA arbitration on behalf of our clients (Claimants) against: CENTAURUS FINANCIAL, INC.(Respondent). The Claimants are retired and living in Arizona. The lawsuit states that they were looking for stable investments that would provide them with income. The Claimants have been clients of CENTAURUS FINANCIAL, INC and their registered representative, […]

Soreide Law Group has filed a FINRA arbitration on behalf of their clients (Claimants) against: WESTERN INTERNATIONAL SECURITIES, INC (Respondent). The Claimants, a married couple, one retired and one working part time, reside in Idaho. The lawsuit states that WESTERN INTERNATIONAL SECURITIES' (WIS) former registered representative, Lisa-Ann Tomiko Nouchi (Lisa Nouchi), has been friends with the […]

Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: EDWARD JONES. The Claimant is in her mid-sixties and resides in Texas. The Claimant maintained brokerage accounts with EDWARD JONES and their former registered representative, Reuben Lamont Brown (Reuben L Brown). Brown was an employee and registered representative of EDWARD […]

Soreide Law Group, based in Pompano Beach, Florida, has been contacted by investors who were sold structured notes linked to the performance of the Ark Innovation Fund. These investors have alleged this product may have been recommended by JOSHUA A GREEN. JOSHUA AARON GREEN (JOSHUA A GREEN, JOSH GREEN) has been registered both as a […]

MACK LEON MILLER (MACK L MILLER, MACK MILLER, MARK MILLER) currently a registered representative with SPARTAN CAPITAL SECURITIES, LLC of New York, NY, since 4/27/2017, has been suspended by FINRA for nine months.  The start date is 9/2/2025 and the end date is 6/1/2026.  According to the FINRA report, without admitting or denying FINRA’s findings, […]

According to a recent article in InvestmentNews by Bruce Kelly, former registered representative, JAMES THADDEUS WALESA (JAMES T WALESA, JIM WALESA) is at the center of investor complaints seeking millions of dollars in damages.  Walesa was recently sued by FINRA, which InvestmentNews calls “the first step in the advisor being barred from the securities industry.” Walesa was […]

BRENTON E DITTO (BRENT E DITTO BRENTON EDWARD DITTO) is currently registered as a broker with LPL FINANCIAL LLC of Elizabethtown, Kentucky since 10/30/2014 and is also registered with them as an investment advisor since 7/8/2022. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, BRENTON E DITTO has 20 years of experience […]

CHUCK A ROBERTS, formerly registered with STIFEL, NICOLAUS & COMPANY, INCORPORATED of New York, NY, from 03/01/2016 - 07/09/2025, was permanently barred by FINRA, according to FINRA’s BrokerCheck, on 7/16/2025.  According to the FINRA report, without admitting or denying FINRA’s findings, CHUCK A ROBERTS consented to the sanction and to the entry of findings that […]

Investors may have incurred losses due to securities broker Joseph Pierre Barreca Jr. (also known as Joe Barreca) [CRD: 3276048, Metairie, Louisiana], according to public information reported on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Barreca worked for Infinex Investments Inc. from July 1, 2016 to January 22, 2021, and for First Horizon Advisors Inc. from […]