MICHAEL ANTHONY ROMANO, was previously registered as a broker with ARETE WEALTH MANAGEMENT, LLC of Nashville, Tennessee from 02/08/2021 - 02/04/2025.  Before ARETE WEALTH MANAGEMENT, Romano was registered with CENTER STREET SECURITIES, INC of Nashville, Tennessee from 08/16/2016 - 04/05/2024. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, MICHAEL ANTHONY ROMANO is […]

SIOBHAN M SHAUGHNESSY (SIOBHAN M BRADY, SIOBHAN MARIE SHAUGHNESSY, SIOBHAN SHAUGHNESSY) is currently registered with UBS FINANCIAL SERVICES INC of Purchase, New York. SIOBHAN M SHAUGHNESSY has been registered as a broker with UBS since 9/22/2008, and as a financial advisor since 10/26/2021. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, SIOBHAN […]

DONALD LEE WELLS (DON WELLS) is currently registered as a broker with REALTA EQUITIES, INC., of Wilmington, Delaware, since 7/6/2023 and as a financial advisor with REALTA INVESTMENT ADVISORS of Seattle, Washington since 6/30/2023. Don Wells was previously registered with TITAN SECURITIES of Seattle, Washington. According to FINRA’s BrokerCheck, available to the public on FINRA’s […]

MARAT LIKHTENSTEIN was barred by FINRA from acting as a broker or otherwise associating with a broker/dealer firm on 8/5/2024. He was previously registered both as a broker and as an investment advisor. He was a broker with OSAIC WEALTH INC of Brooklyn, New York from 11/02/2018 - 06/27/2024.  According to the FINRA report, without […]

Soreide Law Group has filed a FINRA arbitration on behalf of their clients (Claimants) against: LIFEMARK SECURITIES CORP.  (Respondent) The Claimants are both in their 70s and living in Florida. The Claimants were referred to LIFEMARK broker, JEFFREY SETH MORRISON (JEFFREY MORRISON, JEFFREY S MORRISON) on or about 2019. The lawsuit alleges that Morrison knew […]

Soreide Law Group has filed a FINRA arbitration on behalf of our clients (Claimants) against: CENTAURUS FINANCIAL, INC. (Respondent) The Claimants are retirees living in Florida.  The Claimants were introduced to CENTAURUS’ former broker, DAVID BRUCE WHITE on or about 2016 when they were living in Michigan. The lawsuit states that the Claimants were looking […]

Soreide Law Group has filed a FINRA arbitration on behalf of their client (Claimant) against: COASTAL EQUITIES, INC., and their former registered representative, and JAMIE NOWAKOWSKI (Respondents). The Claimant is in his seventies, retired, and living in Connecticut. The lawsuit states that the Claimant was looking to generate a safe and stable income to sustain […]

JARRETT CARTER THOMAS (JARRETT THOMAS) was formerly registered as a broker with WELLS FARGO CLEARING SERVICES LLP of McClean, Virginia, from 03/27/2008 - 06/23/2023. Thomas was previously registered both as a broker and as an investment advisor. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, JARRETT THOMAS was fined $7,500.00 and suspended […]

In a recent article in Agricultural Dive, they reported that Bowery Farming, Inc. is laying off 187 workers and reportedly closing operations. The indoor farming sector is struggling with financial setbacks and rising costs. The New York City-based company, according to Agricultural Dive, was once valued at $2.3 billion and backed by celebrities like Natalie Portman […]