Read the latest in Security Lawyer news and information

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Walter Paul Shoczolek III [CRD: 4488009, Cornelius, North Carolina], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Shoczolek worked for Avantax Investment Services Inc. from January 28, 2015, to October 2, 2023. Keep reading to […]

Investors might have sustained losses due to securities broker Vincent Anthony Sharpe (also known as Vincent Ottomanelli-Sharpe) [CRD: 5435813, Syosset, New York], according to disclosures on FINRA BrokerCheck. Evidently, Vincent Sharpe worked for Aegis Capital Corp. from August 5, 2016, to October 18, 2019, in Red Bank, New Jersey. Following his employment at Aegis Capital […]

Financial Industry Regulatory Authority (FINRA) sanctioned broker Valence Montgomery Williams [CRD: 1389729, New York, New York]. Williams's career includes positions at J.H. Darbie Co. Inc. from July 17, 2018, to December 19, 2023, and at Aegis Capital Corp. from March 23, 2010, to July 18, 2018, both based in New York, NY. Here’s a closer […]

Investors possibly lost money because of securities broker Todd Morris Mezrah [CRD: 2313891, Tampa, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Mezrah worked for M Holdings Securities Inc. from December 19, 2001, to May 7, 2020, and then joined Lion Street Financial LLC and Lion Street Advisors LLC, both located […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Tim Paul Peyton [CRD: 1773817, Gretna, Louisiana], given the disclosures on FINRA BrokerCheck. Evidently, Tim Peyton worked for Salomon Smith Barney from April 1994 to April 2001. Crown Capital Securities LP Investor Accused Peyton Of Unsuitable Recommendations Particularly, […]

Investors might have sustained losses because of securities broker Stefan Ara Shimshidian [CRD: 3043669, White Plains, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Shimshidian joined Cabot Lodge Securities LLC on June 29, 2013. Continue reading to learn more about Shimshidian's disclosures. Cabot Lodge Securities LLC Investor Accused Shimshidian Of […]

Soreide Law Group is investigating potential investor claims against financial advisor Sean Michael Fleming [CRD: 6516544, Mesa, Arizona], given the disclosures on FINRA BrokerCheck. Evidently, Fleming established Fleming Financial Services on February 14, 2018. Keep reading to learn more about Fleming's disclosures. Fleming Financial Services Inc. Investor Accused Fleming Of Unsuitable Recommendations Particularly, a client […]

Financial Industry Regulatory Authority (FINRA) sanctioned broker Scott Michael Bremus [CRD: 4073006, Dacula, Georgia], and investors complained about his sales practices, according to disclosures on BrokerCheck. Evidently, Bremus most recently worked for LPL Financial LLC from October 14, 2016, to October 29, 2021. Here’s more about these disclosures. FINRA Suspended Bremus For Private Securities Transactions […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Scott Jay Matalon [CRD: 4637378, New York, New York], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Matalon worked for Ameriprise Financial Services LLC from May 31, 2013, to August 16, 2019. He then worked […]