Soreide Law Group has filed a FINRA arbitration on behalf of their clients (Claimants) against: MOLONEY SECURITIES CO., INC. and their registered representative, EDWARD H PRINCE. (Respondents) The Claimants, a married couple, reside in Kansas.  They have been clients of EDWARD H PRINCE since 2012. The lawsuit alleges that the Respondents knew the Claimant’s had […]

The Financial Industry Regulatory Authority (FINRA) has fined, JEFFREY WAYNE DAVIDSON (Jeffrey W Davidson) $15,000 and suspended him for 21 months from associating with any FINRA member in all capacities beginning 2/19/2024 and ending 11/18/2025. Davidson was accused of raising over $10 million for a fitness company he owns without receiving written approval from this […]

The Financial Industry Regulatory Authority (FINRA) has suspended and fined a former NETWORK 1 FINANCIAL SECURITIES of Huntington Station, New York, broker with violating Regulation Best Interest (Reg BI) for excessive trades in a client’s account. CHARLES VINCENT MALICO (CHARLIE MALICO, CHARLES V MALICO) was suspended for six months and ordered to pay a $5,000 […]

Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: OPPENHEIMER & CO., INC. (Respondent) The Claimant is retired and living in South Florida. The lawsuit alleges that the Claimant advised the Respondent and its Financial Advisor, E. Matthew Steinberg (Matthew Steinberg), that he wanted to safely generate retirement income. […]

Soreide Law Group has filed a FINRA arbitration on behalf of our clients (Claimants) against: CENTER STREET SECURITIES, INC., and their former registered representative, MICHAEL P ECKER. (Respondents) The Claimants are retired and living in Fort Lauderdale, Florida. The Claimant allegedly met MICHAEL P ECKER at a dinner seminar for retirees in 2016 and opened […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows that investors have filed suitability disputes about securities broker Michael Howard Rosenmayer [CRD: 2352488, Los Angeles, California]. Evidently, he joined Oppenheimer Co. Inc. on June 14, 2007. Below, investors can learn more about these disclosures about the securities broker. Michael Rosenmayer Disclosed Breach Of Contract Allegations By Oppenheimer […]

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 […]