DAVID VICTOR JANNY (DAVID V JANNY) has been registered both as an investment advisor and as a broker with AMERIPRISE FINANCIAL SERVICES, LLC of Westport, Connecticut since 7/15/2022.  He was previously registered as an investment advisor and broker with MORGAN STANLEY of Westport, Connecticut from 11/21/2012 - 08/03/2022. According to FINRA’s BrokerCheck, available to the […]

Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: LANDOLT SECURITIES, INC. (Respondent). The Claimant resides in Florida and is in his late sixties.  The Claimant met LANDOLT SECURITIES’ former registered representative, MICHAEL ARTHUR SEBALD (MICHAEL A SEBALD, MIKE SEBALD) on or about 2020. The lawsuit alleges that LANDOLT […]

Investors potentially experienced sales practice violations due to securities broker Timothy Eugene Brown (also known as Tim Brown) [CRD: 1663519, Winneconne, Wisconsin], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Brown worked for Emerson Equity LLC in Encinitas, California, from August 31, 2016, to July 1, 2024, and is currently registered […]

Investors apparently complained about securities broker Solomon Tobal [CRD: 7643877, Hackensack, New Jersey], based on disclosures on FINRA BrokerCheck. Evidently, Tobal worked for Morgan Stanley from November 27, 2023, to August 20, 2025, and previously with VCP Financial LLC from February 13, 2023, to September 19, 2023. As of July 22, 2025, he has been […]

FINRA barred securities broker Jason Mark Kurtz [CRD: 4958219, Denver, Colorado], and investors complained about him, based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Kurtz worked for U.S. Bancorp Investments Inc. from December 2, 2019, to November 4, 2022, Edward Jones from July 25, 2018, to December 3, 2019, and […]

Investors reportedly complained about securities broker Robert Edward Ainbinder Jr. [CRD: 2389470, Boca Raton, Florida], based on disclosures on FINRA BrokerCheck. Evidently, Ainbinder worked for WestPark Capital Inc. from November 4, 2022, to January 11, 2023; Univest Securities LLC from June 22, 2020, to January 25, 2021; and WestPark Capital Inc. again from November 6, […]

Because of the depth and liquidity of the U.S. capital markets, American investors often represent a valuable supplementary investor base for both public and private Canadian offerings and foreign offerings in general. Yet for many Canadian issuers and their advisors, understanding the U.S. securities exemptions for foreign issuers can appear complex and intimidating. When a […]

When navigating U.S. securities law, two commonly encountered provisions are Rule 144 and Rule 144A. Though the rules sound similar, they serve quite different functions and apply to different circumstances. Below is a refined explanation of each rule and their main distinctions. What Is Rule 144A? Rule 144A provides a “safe-harbor” exemption from the registration […]

Investors potentially experienced sales practice violations due to securities broker Enrique Lopez (also known as Rick Lopez) [CRD: 2209385, Mission, Texas], based on publicly available information Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Lopez worked for LPL Financial LLC in McAllen, Texas, from March 13, 2008, to August 8, 2018, and has been registered with […]