The Florida-based Soreide Law Group obtained the following information from FINRA’s BrokerCheck, available to the public on FINRA’s website, on Naples, Florida broker/investment advisor: WILLIAM SCOTT MEADOR (SCOTT MEADOR, W. SCOTT MEADOR). W SCOTT MEADOR has been registered with UBS FINANCIAL SERVICES INC. of Naples, Florida, as a broker since 9/22/2008, and as an investment […]

MICHAEL ANTHONY ROMANO, was previously registered as a broker with ARETE WEALTH MANAGEMENT, LLC of Nashville, Tennessee from 02/08/2021 - 02/04/2025.  Before ARETE WEALTH MANAGEMENT, Romano was registered with CENTER STREET SECURITIES, INC of Nashville, Tennessee from 08/16/2016 - 04/05/2024. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, MICHAEL ANTHONY ROMANO is […]

Investors apparently complained about securities broker Steven Patrick McCormick [CRD: 5059233, Simi Valley, California], according to disclosures on FINRA BrokerCheck. According to the regulator, McCormick worked for Osaic Wealth Inc. from January 19, 2024, to October 23, 2024; Woodbury Financial Services Inc. from March 1, 2019, to January 19, 2024; and Questar Capital Corporation from […]

Investors potentially experienced losses because of securities broker Stephen Romney Swensen (also known as Stephen Swenson) [CRD: 2885578, Clearfield, Utah], according to disclosures on FINRA BrokerCheck. According to the regulator, Stephen Swensen worked for J.W. Cole Financial Inc. from May 8, 2018, to July 2, 2018, and for Allegis Investment Services LLC from July 1, […]

SIOBHAN M SHAUGHNESSY (SIOBHAN M BRADY, SIOBHAN MARIE SHAUGHNESSY, SIOBHAN SHAUGHNESSY) is currently registered with UBS FINANCIAL SERVICES INC of Purchase, New York. SIOBHAN M SHAUGHNESSY has been registered as a broker with UBS since 9/22/2008, and as a financial advisor since 10/26/2021. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, SIOBHAN […]

Investors might have sustained losses because of securities broker Stephen Edson Bush (also known as Steve Bush) [CRD: 1898917, Weddington, North Carolina], according to disclosures on FINRA BrokerCheck. According to the regulator, Bush has worked for Capital Investment Group Inc. since August 31, 2018, and Capital Investment Advisory Services LLC since September 1, 2018. Previously, […]

Investors might have received losses due to securities broker Shane Alexander Appelbaum [CRD: 4772668, Boca Raton, Florida], according to disclosures on FINRA BrokerCheck. According to the regulator, Appelbaum has worked for Herbert J. Sims Co. Inc. since March 23, 2004, and Herbert J. Sims Capital Management Inc. since March 8, 2017. Read on to learn […]

DONALD LEE WELLS (DON WELLS) is currently registered as a broker with REALTA EQUITIES, INC., of Wilmington, Delaware, since 7/6/2023 and as a financial advisor with REALTA INVESTMENT ADVISORS of Seattle, Washington since 6/30/2023. Don Wells was previously registered with TITAN SECURITIES of Seattle, Washington. According to FINRA’s BrokerCheck, available to the public on FINRA’s […]

Investors potentially experienced losses because of securities broker Shadi Taysir Barakat (also known as Sean Barakat) [CRD: 5031281, New York, New York], according to disclosures on FINRA BrokerCheck. Specifically, Shadi Barakat worked for Alexander Capital, L.P. in Red Bank, New Jersey, from October 21, 2022, to October 24, 2022, and Spartan Capital Securities LLC in […]