Soreide Law Group is currently conducting an investigation into potential claims on behalf of investors who may have incurred losses due to the actions of Eric Ryan Tartaglione [CRD: 2722931, Woodbridge, New Jersey]. Evidently, Tartaglione worked for Investment Network Inc. from January 4, 2017, to July 21, 2023. Notably, Tartaglione faced FINRA sanctions for non-compliance in a regulatory investigation, particularly concerning the sales of pre-IPO private placement offerings.
Evidently, on July 21, 2023, FINRA issued Case: 2022074096801 sanctioning Eric Tartaglione for infractions. Specifically, FINRA alleged that Tartaglione refused to cooperate in the regulator’s investigation.
As part of this investigation, FINRA sought testimony from Tartaglione, a standard procedure when examining potential irregularities or violations. However, Tartaglione opted not to comply with the request for testimony.
The regulatory body, in its resolution dated July 21, 2023, decided on a stringent course of action. Through an Acceptance, Waiver Consent (AWC), which Tartaglione entered without admitting or denying the findings, he consented to a permanent bar sanction. This effectively precludes him from engaging in any securities-related activities in any capacity.
Did you experience losses because of Eric Tartaglione? If so, reach out to Soreide Law Group online or at (888) 760-6552 and talk with a securities attorney concerning a potential recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the United States, works on a contingency fee basis, and advances all costs. Tartaglione and brokerage firms he worked for deny accusations of sales practice violations.
The private market, once the exclusive playground of institutional investors, has increasingly opened its doors to individual investors seeking a piece of the next unicorn. Funds like the Advanced Technology Select Funds - targeting high-profile private companies such as Flexport, Plaid, and Cybereason - are a prime example of this trend. While the prospect of […]
Soreide Law Group, PLLC At Soreide Law Group, we help investors, shareholders, and publicly traded companies navigate the complex federal rules governing the resale of restricted or control securities. Our attorneys understand that clearing restrictive legends and ensuring compliance with Rule 144 or other resale exemptions can be time-sensitive and critical to protecting shareholder rights. […]
FINRA barred securities broker Emma Marie McAuley [CRD: 7178199, Auburn, Washington], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, McAuley worked for Edward Jones from November 4, 2019, to March 19, 2024. Keep reading to learn more about McAuley’s disclosures. FINRA Sanctioned McAuley For Failure To Respond Notably, on January 21, 2025, […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com