According to FINRA’s BrokerCheck, available to the public on FINRA’s website, ANTHONY TRICARICO, formerly with Aegis Capital Corp. of New York, NY, has been subject to 3 “Customer Disputes” and three “Regulatory” issues.  Tricarico has been in the securities industry for 37 years and was listed as a broker with 12 firms. He was with […]

The Financial Industry Regulatory Authority (FINRA) has barred ROBERT EARL TURNER JR (ROBERT E TURNER JR), a former broker/financial advisor from UBS FINANCIAL SERVICES, INC., of Waco, Texas. According to a recent article in Financial Advisor IQ, Turner allegedly convinced at least 30 clients to invest a total of more than $7.2 million in private […]

In a recent article from the Wausau Pilot & Review, ANTHONY BAKER LIDDLE (ANTHONY B LIDDLE, TONY LIDDLE), a former Wisconsin broker/investment advisor, was charged by the US Department of Justice with defrauding clients out of approximately $1.9 million.  Liddle is facing federal prison, after criminal charges were filed against him last week. One day […]

Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: CETERA INVESTMENT SERVICES, LLC, and their registered representative, THOMAS DAVID BRUNT (THOMAS D BRUNT) Respondents. The Claimant is retired and living in Tennessee.  The Claimant and his wife were looking for conservative investments to sustain them through retirement. He had […]

Investors have come forward with complaints about securities broker Emilio Guajardo Jr. (CRD:  4871764, The Woodlands, TX). Evidently, the securities broker, who worked for BBT Securities LLC, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, BBT Securities LLC clients allege that Guajardo made misrepresentations. For more on these disclosures about Guajardo, see […]

Soreide Law Group is investigating Fariba Zehtabian Madison (Fariba Zehtabian) a broker/financial advisor currently listed with WESTERN INTERNATIONAL SECURITIES, INC. of Los Alamitos, California since 2012. It was brought to our attention that Fariba Zehtabian Madison had allegedly sold GWG bonds to clients. GWG filed for Chapter 11 bankruptcy in April, 2022.  GWG Bonds carry […]

Soreide Law Group filed a FINRA arbitration on behalf of our client (Claimant) against: AUSDAL FINANCIAL PARTNERS, INC. andAMERICAN TRUST INVESTMENT SERVICES, INC.(Respondents) The Claimant is 70 years old and resides in Illinois. The Claimant maintained accounts with the Respondents, and brings this claim, the lawsuit alleges, as the result of the Respondents’ mismanagement of […]

Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: KATALYST SECURITIES, LLC, and their former registered representative, PETER K JANSSEN (Respondents). The lawsuit alleges that in 2017, KATALYST SECURITIES broker, PETER K JANSSEN convinced the Claimant to invest her life savings of $94,930.40 into a crypto venture in digital […]

Soreide Law Group has filed a FINRA arbitration on behalf of their client (Claimant) against: RAYMOND JAMES & ASSOCIATES, INC., and their registered representative, RAYMOND SARDINA (Respondents). The Claimant is in his late sixties and resides in Venezuela. The Claimant’s previous broker had left RAYMOND JAMES and he was assigned to RAYMOND SARDINA. According to […]