Investors potentially experienced sales practice violations because of securities broker Jeffrey Steinberg (also known as Jeff Steinberg) [CRD: 2610793, Port Saint Lucie, Florida], according to disclosures through FINRA’s BrokerCheck. Steinberg has been registered with Avantax Investment Services Inc. since October 25, 2019; Avantax Planning Partners Inc. since June 29, 2022; and Avantax Advisory Services since October 25, 2019. All of these entities are based at 8517 S US Highway 1, Port Saint Lucie, Florida. Below, you can discover more about the allegations brought against Jeffrey Steinberg.
Particularly, on February 3, 2025, an Avantax Investment Services Inc. client filed FINRA Arbitration No. 25-00237 about Jeffrey Steinberg. The client alleged that Steinberg made unsuitable recommendations. Because of this, the client allegedly sustained damages on real estate securities. Therefore, the client requested damages—believed to be at least $5,000—in compensation from Avantax Investment Services or Steinberg. Evidently, this arbitration is pending a resolution.
When a broker is accused of providing unsuitable investment advice involving real estate securities—such as real estate investment trusts (REITs)—it means the broker may have recommended investments that were not appropriate for the client's specific financial situation or risk tolerance. These types of investments can carry high fees, limited liquidity, and significant risk, and may not align with a conservative or income-focused investment strategy. If a client is guided toward these products without fully understanding the risks—or if the recommendation doesn’t match their investment profile—it may form the basis of a suitability violation.
Did you experience losses because of Jeffrey Steinberg? If so, get in touch with Soreide Law Group online or at (888) 760-6552. Talk with a securities attorney about a possible recovery of investment-related losses. Soreide Law Group has helped recovered losses for investors throughout the United States. The firm represents individuals on a contingency fee basis, and advances all costs. Steinberg and brokerage firms Steinberg worked for deny any allegations of sales practice violations.
Investors might have sustained financial harm through WestPark Capital Inc. [CRD: 39914, Los Angeles, California], according to publicly available information found on Financial Industry Regulatory Authority BrokerCheck. WestPark Capital has been registered with FINRA since 1996 and maintains its headquarters in Los Angeles, California. Keep reading to discover more about the regulatory action involving the […]
Investors might have sustained losses due to securities broker James Fredrick Tighe [CRD: 3129233, Phoenix, Arizona], and Financial Industry Regulatory Authority barred him, based on public information on BrokerCheck. Tighe was associated with Morgan Stanley from June 1, 2009, through January 14, 2025. Continue reading to find out more about Tighe’s regulatory and client dispute […]
Investors potentially experienced sales practice violations by securities broker Sung Moo Cho (also known as Sam Cho) [CRD: 5015906, New York, New York], and FINRA barred him, given the public information found on FINRA BrokerCheck. Cho was associated with Ameriprise Financial Services from January 22, 2021, to October 21, 2025, and Citigroup Global Markets from […]
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