AISHKA O LUGO (AISHICA O HUGO, AISHICA O LUGO) is currently registered both as a broker and financial advisor with UBS FINANCIAL SERVICES INC. of Tampa, Florida, since 10/16/2006.  According to FINRA’s BrokerCheck, available to the public on FINRA’s website, AISHKA O LUGO has been in the securities industry for 23 years and has 22 […]

In a recent article from InvestmentNews, Bruce Kelly writes that GWG Holdings Inc. filed for chapter 11 bankruptcy protection almost three years ago and investors who bought $1.6 billion in GWG L bonds have now been offered pennies on the dollar in a settlement proposal made in March. Beneficient, a platform for illiquid alternative investments that […]

Soreide Law Group has filed a FINRA arbitration on behalf of their clients (Claimants) against: NEWBRIDGE SECURITIES CORPORATION and their former registered representative, DEAN ROBERT NOWAK (DEAN R NOWAK). (Respondents) The Claimants are both in their sixties and living in Florida. In 2019, the Claimants attended a retirement seminar hosted by NEWBRIDGE broker, DEAN R […]

SCOTT CHRISTOPHER JACKSON (SCOTT C JACKSON, SCOTT JACKSON) has been registered as a broker with J.W. COLE FINANCIAL, INC of Tampa, Florida, since 10/1/2014 and as an investment advisor with J.W. COLE ADVISORS, INC of Tampa, Florida since 10/2/2014. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, SCOTT C JACKSON has been […]

KEVIN MARSHALL MCCALLUM (KEVIN M MCCALLUM) was previously registered both as a broker and as an investment advisor. The last firm he was with was LPL FINANCIAL LLC in Birmingham, Alabama, from 05/24/2012 - 07/05/2019. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, KEVIN M MCCALLUM was in the securities industry for […]

Soreide Law Group has been contacted by investors who purchased GWG L Bonds from CENTAURUS FINANCIAL of Lexington, South Carolina, broker, ATUL MAKHARIA. GWG Holdings, Inc. filed for Chapter 11 bankruptcy protection in the United States Bankruptcy Court on April 20, 2022. Many investors, often elderly and retired, were not made aware of the true […]

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 […]

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 […]