In a recent article from Financial Advisor they state that the customers of Kestra have filed a complaint against the broker/dealer with the Financial Industry Regulatory Authority’s (FINRA) arbitration service. The article states that the customers allege that one of Kestra’s representatives led them to a volatile and unsuitable exchange-traded product. Additionally, they allege he […]

YOUSSEF A ZOHNY has been registered both as an investment advisor and a broker with MORGAN STANLEY of San Francisco, California. He has held this registration since March of 2017. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, YOUSSEF A ZOHNY has been in the securities industry for 9 years. He has […]

Michael S Barrows (Michael Scott Barrows) has been suspended by FINRA indefinitely with the start date of 3/27/2026.  The Regulator’s Statement was, “Pursuant to FINRA Rule 9553, Respondent Barrows' registration with FINRA is suspended on March 27, 2026, for failure to pay arbitration fees.” Barrows is registered as a broker with INNOVATION PARTNERS LLC of […]

CLIFFORD RONALD REID (CLIFFORD R REID) was previously registered with REID RUDIGER LLC of New York, NY from 10/06/1999 - 04/30/2026. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, CLIFFORD R REID has 34 years of experience in the securities industry and was listed as a broker with 4 firms.  Reid is […]

  Soreide Law Group has been contacted by former customers who purchased Inspired DSTs allegedly recommended by broker, SAM BHUSHAN (SAMEER BHUSHAN). According to FINRA’s BrokerCheck, available to the public on FINRA’s website, SAM BHUSHAN has 17 years of experience in the securities industry. He was listed with 6 firms. The last firm he was […]

ROBERT SCOTT SMITH (ROBERT S SMITH) is currently registered as a broker with EMERSON EQUITY LLC of Newberg, Oregon, since 4/3/2020. He was previously registered as a broker with CONCORDE INVESTMENT SERVICES LLC of Newberg, Oregon, 05/06/2011 - 04/06/2020. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, ROBERT S SMITH has 39 […]

MARILEE ANN HILL (MARILEE A HILL, MARILEE ANN HANSEN) has been registered as a broker with EMERSON EQUITY LLC of San Mateo, California, since 3/26/2020.  She was previously registered with PRIMEX of Christiansted, St. Croix, VI, from 10/13/2014 - 04/20/2020. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, MARILEE A HILL has […]

CHRISTIAN YAVIER GOMEZ (CHRISTIAN Y GOMEZ, CHRISTIAN GOMEZ) was permanently barred by FINRA from acting as a broker or otherwise associating with a broker/dealer firm with a start date of 12/15/2025.  Gomez was previously registered with BROOKLIGHT PLACE SECURITIES LLC of Fountain Hills, Arizona, from 08/29/2023 - 05/20/2025.  CHRISTIAN Y GOMEZ was registered with NYLIFE […]

KEITH MICHAEL DAGOSTINO (KEITH M DAGOSTINO, KEITH DAGOSTINO) was fined $25,000.00 and suspended for 24 months with a start date of 1/5/2026, and an end date of 1/4/2028. Dagostino was with AEGIS CAPITAL CORP of Melville, New York from 10/03/2014 - 11/29/2023, and was last registered with EF HUTTON LLC of Woodbury, New York from […]