Soreide Law Group, based in Pompano Beach, Florida, has filed a FINRA arbitration on behalf of our client (Claimant) against: CABOT LODGE SECURITIES LLC (Respondent) The Claimant in his mid-70s, is retired and living in Texas. The lawsuit alleges the Claimant met broker, DAVID L ARLEIN, sometime on or about 2014 and discussed investments with […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Baris Cabalar (also known as Barry Calabar) [CRD: 4749342, Fort Lauderdale, Florida]. Baris Cabalar has worked for five firms in his 17-year career. Evidently, he is employed at PHX Financial, Inc. since December 18, 2015. Recent disclosures reveal concerns about Cabalar’s conduct, including allegations […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Michael Gregory Culwell (also known as Mike Culwell) [CRD#: 5989109, Irvine, California]. Michael Culwell is currently registered with Emerson Equity LLC since November 8, 2013, and has 13 years of experience in the securities industry. Michael Culwell’s employment history includes working for ARI Financial […]

Soreide Law Group has filed a FINRA arbitration on behalf of their client (Claimant) against: WELLS FARGO CLEARING SERVICES, LLC (Respondent). The Claimant, in his mid-70s, is retired and living in Georgia. According to the lawsuit, the Claimant maintained his funds in cash accounts at Wells Fargo Bank and was referred to WELLS FARGO broker, […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Colin Christy Kelty (also known as Colin Kelty) [CRD: 5859007, Oakbrook, Illinois]. Colin Kelty has been registered with Cetera Investment Services LLC since December 6, 2011, and Cetera Investment Advisers LLC since January 21, 2014. Previously, Kelty worked for Vision Investment Services, Inc., from […]

Employee Stock Options and Ownership Plans: Key Information Employee stock options (ESOs) and employee stock ownership plans (ESOPs) are popular benefits offered to employees by both private and publicly-traded companies; in certain cases, consultants, contractors and even investors may be offered stock options. The underlying stock options provide employees or stakeholder with a stake in […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Viqas Akhtar (also known as B. Akhtar) [CRD#: 5624412, Miami, Florida]. Viqas Akhtar has been employed at four firms over his 14-year career. He is currently registered with B. Riley Wealth Management, where he has worked since July 22, 2022. Prior to this, Akhtar […]

KITTIANY DAVIS BARRIOS, a previously registered broker, was permanently barred by the Financial Industry Regulatory Authority (FINRA) from acting as a broker or otherwise associating with a broker/dealer firm. KITTIANY DAVIS BARRIOS was formerly registered with PFS INVESTMENTS, INC of Cranbury, New Jersey from 03/15/2019 - 02/22/2024. According to FINRA’s BrokerCheck, available to the public […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker David Dean Glienke [CRD: 5502866, Westlake Village, California]. David Glienke has been employed by Western International Securities, Inc. since May 28, 2008, where he is registered as both a broker and an investment adviser representative. Recent disclosures raise concerns about Glienke’s conduct, including allegations […]