CONSTANTINOS G MANIATIS Fined and Suspended by FINRA
CONSTANTINOS GEORGE MANIATIS (CONSTANTINOS G MANIATIS) CRD#: 4253356, formerly with Morgan Stanley, was fined $5,000 and suspended for 30 [...]
David Paton Involved In Suitability Disputes
Securities Broker David Paton Involved In Disputes From RBC Capital Markets Clients The Financial Industry Regulatory Authority (“FINRA”) reveals [...]
Anthony Cottone Barred, Facing Investor Disputes
Broker Anthony Cottone Is Barred By FINRA, Involved In Dispute About Private Placements The Financial Industry Regulatory Authority (“FINRA”) [...]
David Volpe Expelled By FINRA, Involved In Dispute
Investor Files Dispute About Barred Broker David Volpe Soreide Law Group is evaluating possible investor claims against securities broker [...]
EVAN A SCHOTTENSTEIN Barred by FINRA
EVAN A SCHOTTENSTEIN (CRD#: 4929175), a former financial advisor with JP Morgan Securities, LLC of New York, has been [...]
Michael Kamperman Focus Of Suitability Disputes
Prospera, HD Vest Investors Bring Disputes About Michael Kamperman The Financial Industry Regulatory Authority (FINRA) reports new disputes involving [...]
Peter Girgis Under FINRA Investigation For Churning
Securities Broker Peter Girgis Under FINRA Investigation For Possible Churning, Unsuitable Trading The Financial Industry Regulatory Authority (“FINRA”) BrokerCheck [...]
John LoPinto Facing Worden Capital Investor Disputes
Worden Capital Investors File Disputes About Securities Broker John LoPinto It appears that investors have come forward in dispute [...]
Gilberto Briseno Involved In LPL Investor Disputes
Investors File Disputes About Broker Gilberto Briseno's Investment Recommendations At LPL Financial Soreide Law Group is examining whether to [...]
Scott Barber Involved In Suitability Disputes
Securities Broker Scott Michael Barber Involved In Disputes About Suitability Of REIT Transactions The Financial Industry Regulatory Authority (“FINRA”) [...]
Jonah Engler Facing Investor, Regulatory Lawsuits
Investors, Regulators File Lawsuits Regarding Securities Broker Jonah Engler The Financial Industry Regulatory Authority (“FINRA”) confirms through BrokerCheck that [...]
Dustin Shafer Barred, Involved In REIT Disputes
Money Concepts Broker Dustin Shafer Barred As Securities Broker, Involved In Investor Disputes Soreide Law Group is reviewing whether [...]
Chad Barancyk Involved In Investor Disputes
Investors File Disputes About Securities Broker Chad Barancyk's Sales Practices Investors have disputed the sales practices of First Allied [...]
Lodging Fund REIT III Losses?
Securities Regulator Reportedly Investigating Lodging Fund REIT III Over Reimbursement Policy The Securities and Exchange Commission (“SEC”) has reportedly [...]
Todd Ellentuck Subject Of Investor Disputes
Investors File Disputes About Broker Todd Ellentuck (Aegis, UBS) The Financial Industry Regulatory Authority (“FINRA”) reports serious information about [...]
Jon Pyne In Berthel Fisher Disputes
Securities Broker Jon Pyne Involved In Seven Investor Disputes Soreide Law Group has come across important information in regard [...]
RAYMOND ALAGAO VELASCO Sr Fined and Suspended
RAYMOND ALAGAO VELASCO Sr (RAY VELASCO, RAYMOND VELASCO) CRD#: 4867519, formerly with LPL Financial of Lisle, Illinois, was suspended [...]
Bill Young Involved In Investor Disputes
Securities Broker Bill Young Involved In H. Beck Investor Disputes The Financial Industry Regulatory Authority (“FINRA”) reports through BrokerCheck [...]
Samuel Head The Focus Of Investor Suitability Disputes
Broker Samuel Head Is Involved In Voya Financial Client Disputes Soreide Law Group has come across some concerning information [...]
Sunset Financial Sued Over REITs, DPPs
FINRA Arbitration Panel Orders Sunset Financial To Compensate Client For Private Placement Losses The Financial Industry Regulatory Authority (“FINRA”) [...]