Soreide Law Group, based in Pompano Beach, Florida, is currently investigating broker, DAVID LESLIE ARLEIN (DAVID L ARLEIN), formerly with Cabot Lodge Securities, LLC of Boca Raton, Florida. Arlein was with Cabot Lodge Securities from 03/12/2014 to 10/26/2022. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, DAVID L ARLEIN, has been registered […]

The Financial Industry Regulatory Authority (FINRA) barred, LOUIS P GOFF, a former WELLS FARGO CLEARING SERVICES, INC of Salt Lake City, Utah broker, who was allegedly involved last year in a Securities and Exchange Commission (SEC) civil case over a multi-million dollar trading scheme. On December 20, 2023, without admitting or denying FINRA’s findings, LOUIS […]

Soreide Law Group is reviewing potential investor claims on behalf of those who may have invested with securities broker Marion Leonberger (also known as Marion Leopold Leonberger Jr. and as Sonny Leonberger (CRD#: 1083568, Louisville, Kentucky). Notably, FINRA BrokerCheck shows three investor disputes on the record of the securities broker. Evidently, he worked for American […]

Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: WELLS FARGO CLEARING SERVICES, LLC, and their registered representative, PASQUALE CAPONE. The lawsuit states that the Claimant was looking to generate a sustainable and safe income that could support his needs through retirement. The Claimant allegedly felt he could trust […]

Matthew T Mierzycki (Matthew Thomas Mierzycki, Matthew Mierzycki), a broker/financial advisor currently listed with Ameriprise Financial Services in Round Rock, Texas, was fined $10,000.00 and suspended for four months following accusations that he allegedly used discretionary authority in client accounts and failed to disclose credit compromises to his employers. Without admitting or denying FINRA’s findings, […]

Joe David Gainer Jr, a former Wells Fargo of Marianna, Florida, broker/financial advisor, was barred by the Financial Industry Regulatory Authority (FINRA) over allegations that he accepted a $3 million gift from a client. Without admitting or denying FINRA’s findings, Joe David Gainer Jr consented to the sanction and to the entry of findings that […]

SARA YASMIN QAZI (SARA QAZI), a former Morgan Stanley of Beverly Hills, CA, broker/financial advisor, has been suspended for three months and fined $15,000, for allegedly participating in the sale of an outside investment without the firm’s approval.  Qazi was with Morgan Stanley from 09/21/2009 to 03/15/2021.  She is currently registered both as a broker […]

The Financial Industry Regulatory Authority (FINRA) permanently barred Christopher Booth Kennedy (Chris B. Kennedy, Chris Kennedy), previously listed with Western International Securities in Woodland Hills, California (12/02/2019 - 09/27/2021), for allegedly engaging in churning and excessive trading in the accounts of six clients between July of 2020 and July of 2021, according to the FINRA […]

Soreide Law Group is investigating the Oppenheimer Portfolio Enhancement Program or “PEP”. OPPENHEIMER & CO allegedly offered its best clients an opportunity to generate an extra 5% on its portfolio by borrowing money on margin to participate in its proprietary PEP program. The minimum investment increment was $1.25 million. PEP was sold as a hedged […]