Soreide Law Group is investigating possible investor claims against securities broker Brandon Tatarevich [CRD: 4694264, Fort Worth, Texas]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for J.P. Morgan Securities LLC. For example, clients alleged unsuitable recommendations. Here is a brief summary of […]

Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against EDWARD JONES (Respondent). The Claimant resides in Louisiana and has maintained her investment accounts through Edward Jones with financial advisor, Tyler Gugliuzza. The lawsuit alleges that the Respondent understood that the Claimant is planning on retiring in 2023. Edward Jones’ […]

Soreide Law Group is investigating possible investor claims against securities broker Michael Ohlemacher AKA Michael Burton Ohlemacher [CRD#: 5759091, Maumee, OH]. Evidently, FINRA sanctioned the securities broker, who worked for WS Brokerage Services. Allegedly, Ohlemacher engaged in an undisclosed outside business activity. Here is a brief summary FINRA’s allegations against Ohlemacher. FINRA Sanctions WS Brokerage […]

Investors have come forward with complaints about securities broker Samuel Girgiss [CRD#: 6088898, New York, NY]. Evidently, the securities broker, who worked for Worden Capital Management, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Worden Capital Management clients allege that Girgiss made unsuitable and excessive transactions and failed to supervise. For more […]

Soreide Law Group is investigating possible investor claims against securities broker David Geake AKA David Richard Geake [CRD#: 3088891, Chicago, IL]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for American Trust Investment Services. Evidently, investors allege sales practice violations in these disputes, […]

Soreide Law Group has filed a FINRA arbitration on behalf of their clients (Claimants) against: ARQUE CAPITAL, LTD., and their registered representative, RONALD L MCLEOD (Respondents).  The Claimants are elderly and living in Florida. They were looking for conservative investments that could generate stable income to sustain them through retirement with minimal risk of loss […]

Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against:   CETERA INVESTMENT SERVICES, LLC, and their registered representative,   THOMAS D BRUNT (Respondents). The Claimant is retired and living in Tennessee who brought a claim for losses in JP Morgan Linked Notes to ARK Innovations EFT that dropped over […]

In a recent article from InvestmentNews.com, it was reported that Emerson Equity, a California broker/dealer, is suing a network of insurance underwriters in a $5 million dispute over insurance claims by investors who bought GWG L bonds that were issued by GWG Holding Inc., which filed for Chapter 11 bankruptcy in April. Emerson Equity was […]

The Financial Industry Regulatory Authority (FINRA) has fined and suspended CHARLES V MALICO (CHARLIE MALICO, CRD#: 1507282) formerly with Network 1 Financial Securities in Huntington Station, New York, in what may be the first FINRA enforcement action stemming from the Securities and Exchange Commission’s Regulation Best Interest, or Reg BI. According to FINRA’s BrokerCheck, a […]