Soreide Law Group, based in Pompano Beach, Florida, has filed a FINRA arbitration on behalf of our client (Claimant) against: CABOT LODGE SECURITIES LLC (Respondent) The Claimant in his mid-70s, is retired and living in Texas. The lawsuit alleges the Claimant met broker, DAVID L ARLEIN, sometime on or about 2014 and discussed investments with […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Baris Cabalar (also known as Barry Calabar) [CRD: 4749342, Fort Lauderdale, Florida]. Baris Cabalar has worked for five firms in his 17-year career. Evidently, he is employed at PHX Financial, Inc. since December 18, 2015. Recent disclosures reveal concerns about Cabalar’s conduct, including allegations […]

Soreide Law Group has filed a FINRA arbitration on behalf of their client (Claimant) against: WELLS FARGO CLEARING SERVICES, LLC (Respondent). The Claimant, in his mid-70s, is retired and living in Georgia. According to the lawsuit, the Claimant maintained his funds in cash accounts at Wells Fargo Bank and was referred to WELLS FARGO broker, […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Colin Christy Kelty (also known as Colin Kelty) [CRD: 5859007, Oakbrook, Illinois]. Colin Kelty has been registered with Cetera Investment Services LLC since December 6, 2011, and Cetera Investment Advisers LLC since January 21, 2014. Previously, Kelty worked for Vision Investment Services, Inc., from […]

Employee Stock Options and Ownership Plans: Key Information Employee stock options (ESOs) and employee stock ownership plans (ESOPs) are popular benefits offered to employees by both private and publicly-traded companies; in certain cases, consultants, contractors and even investors may be offered stock options. The underlying stock options provide employees or stakeholder with a stake in […]

KITTIANY DAVIS BARRIOS, a previously registered broker, was permanently barred by the Financial Industry Regulatory Authority (FINRA) from acting as a broker or otherwise associating with a broker/dealer firm. KITTIANY DAVIS BARRIOS was formerly registered with PFS INVESTMENTS, INC of Cranbury, New Jersey from 03/15/2019 - 02/22/2024. According to FINRA’s BrokerCheck, available to the public […]

JASON KIMBER has been registered as a broker since May of 2018, and as an investment advisor since November of 2020, with JW COLE FINANCIAL, INC of Logan, Utah. Kimber was previously registered with Allegis Investment Services, LLC of Clearfield, Utah, from July of 2014 – May of 2018. According to FINRA’s BrokerCheck, available to […]

DARRACH MICHAEL BOURKE (DARRACH BOURKE), has been registered both as a broker and an investment advisor with EMERSON EQUITY LLC of Mill Valley, California, since May of 2017.  According to FINRA’s BrokerCheck, available on FINRA’s website to the public, DARRACH BOURKE, has been in the securities industry for 17 years and has been listed with […]

EVAN JAY ADELGLASS, according to FINRA’s BrokerCheck, has been registered both as a broker and as an investment advisor with LPL FINANCIAL LLC, in Ansonia, Connecticut, since August 31, 2005. According to BrokerCheck, available on FINRA’s website to the public, EVAN JAY ADELGLASS, has been in the securities industry for 30 years and was listed […]