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January 27, 2023
Investors File Disputes About John Sommo

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker John Anthony Sommo (CRD:  3141638, New Haven, CT). Evidently, investors disputed the sales practices of the securities broker, who worked for UBS Financial Services Inc. Additionally, the securities broker discloses a regulatory enforcement action. However, Sommo denies the allegations of sales practice violations. […]

January 26, 2023
Investors File Disputes About Philip Smith

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Philip Smith (also known as Phillip Norris Smith) (CRD:  2833891, New York, NY). Evidently, investors disputed the sales practices of the securities broker, who worked for Equitable Advisors LLC. Additionally, the securities broker discloses a regulatory enforcement action. Notably, these disclosures allege Smith […]

January 26, 2023
Thomas Shultz Discloses Allegations Of Unsuitable Recommendations

Investors have come forward with complaints about securities broker Thomas Caine Shultz (CRD:  5614228, Scottsdale, AZ). Evidently, the securities broker, who worked for Coastal Equities Inc., discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Coastal Equities Inc. clients allege that Shultz made unsuitable recommendations and failed to perform due diligence. For more […]

January 25, 2023
Investors File Disputes About Andrew Schell

Soreide Law Group is investigating possible investor claims against securities broker Andrew Schell (also known as Andrew David Schell) (CRD:  6536347, Colorado Springs, CO). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for D.A. Davidson Co. Evidently, one or more investors alleged that […]

January 25, 2023
Pat Russi Discloses Allegations Of Misconduct

Investors have come forward with complaints about securities broker Pat Russi (also known as Praxedes Russi) (CRD:  2588105, Garden City, NY). Evidently, the securities broker, who worked for Worden Capital Management LLC, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, one or more investors allege that Russi churned accounts, charged excessive commissions, […]

January 24, 2023
Investors File Disputes About Ariel Rivero

Investors have come forward with complaints about securities broker Ariel Rivero (CRD:  4236679, Miami, FL). Evidently, the securities broker, who worked for Jefferies LLC, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, one or more investors allege that Rivero or his member firm acted in breach of fiduciary duty, failed to supervise […]

January 23, 2023
Walter Reyna Discloses Allegations Of Unsuitable Recommendations

Soreide Law Group is investigating possible investor claims against securities broker Walter Reyna (CRD:  1323478 Mcallen, TX). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Lincoln Financial Securities Corporation. Evidently, one or more investors alleged that Reyna made unsuitable recommendations. Here is […]

January 23, 2023
Hillard Rest Discloses Allegations Of Breach Of Fiduciary Duty

Soreide Law Group is investigating possible investor claims against securities broker Hillard Charles Rest (CRD:  858840, Irvine, CA). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for JRL Capital Corporation. Evidently, one or more investors alleged that Rest acted in breach of fiduciary […]

January 22, 2023
Dirk Rabenold Discloses Investor Complaint

Investors have come forward with complaints about securities broker Dirk Rabenold (CRD:  1407291, Williamsville, NY). Evidently, the securities broker, who worked for Next Financial Group Inc. and Prudential Securities, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. For more on these disclosures about Rabenold, see below; however, keep in mind that the securities […]

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