Latest Securities Lawyer News

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November 28, 2023
Investor Disputes Against Ryan Mallow

Soreide Law Group is currently conducting an investigation into the activities of Ryan Scott Mallow (also known as Ryan Mallow) [CRD#: 2420445, Jacksonville, Florida], a previously registered broker and financial advisor. Mallow worked with Fidelity Brokerage Services LLC in Jacksonville, Florida, from June 28, 2010, to June 2, 2023. He was previously affiliated with Stratton […]

November 27, 2023
Ronald Whittingham Received Sanctions From Indiana Regulator, FINRA

Soreide Law Group is currently investigating potential claims on behalf of investors who may have suffered losses due to the actions of securities broker Ronald Leonard Whittingham (also known as Ron Whittingham) [CRD#: 4175525, Chicago, Illinois]. Whittingham joined Cetera Advisors LLC on February 28, 2019. Prior to his current registration, he worked for LPL Financial […]

November 26, 2023
FINRA Issued Fine To Broker Rogerio Almeida

Soreide Law Group is currently examining potential claims on behalf of investors who have incurred financial losses due to the actions of securities broker and financial advisor, Rogerio T. Almeida (Rogerio T. De Almeida Filho) [CRD: 7083841, Orange City, Florida]. Almeida worked with Edward Jones from May 11, 2019, to September 7, 2022. The Financial […]

November 26, 2023
Investigation Alert: Roderick Whited

Soreide Law Group is currently investigating potential claims on behalf of investors who have suffered losses due to the actions of securities broker Roderick Len Whited (also known as Rod Whited) [CRD: 2663822, Gainesville, Florida]. Whited, previously registered as both a broker and investment adviser. He was affiliated with Intercarolina Financial Services Inc. from October […]

November 25, 2023
Fortune Financial, SA Stone Clients Complain About Richard Wesselt

Soreide Law Group is actively investigating potential claims on behalf of individuals who have incurred financial losses due to the actions of Richard Michael Wesselt (also known as Rich Wesselt) [CRD#: 2195569, Collegeville, Pennsylvania]. Evidently, Wesselt worked with several employers, including Fortune Financial Services Inc. from September 2017 to November 2020 and The O.N. Equity […]

November 25, 2023
FINRA Issues Bar To Randall Skrabonja

Soreide Law Group is conducting investigations on behalf of investors who may have suffered losses linked to securities broker Randall George Skrabonja (CRD#: 1858245, Winter Park, Florida). Evidently, Skrabonja worked with Green Vista Capital LLC in Winter Park, FL from October 2019 to May 2023, and with Sagepoint Financial Inc. in Fort Lauderdale, FL from […]

November 24, 2023
Investors Filed Disputes About Peter Clarke

Soreide Law Group is currently conducting an investigation on behalf of investors who have sustained financial losses involving registered broker and financial advisor, Peter John Clarke [CRD#: 1400419, Palm Beach Gardens, Florida]. Clarke works for Rockefeller Financial LLC and Rockefeller Capital Management since November 12, 2021. His previous associations include Truist Advisory Services Inc., and […]

November 24, 2023
Ameriprise Clients Complain About Broker Peter Nett

Soreide Law Group is conducting an investigation into potential claims on behalf of investors who may have incurred losses due to the actions of securities broker and financial advisor, Peter Dieter Nett (also known as P.D. Nett) [CRD: 4506990, The Woodlands, Texas]. Evidently, he has worked with Hilltop Securities Inc. since September 23, 2022. He […]

November 23, 2023
SEC Brings Misappropriation Case Against Patrick Thayer

Soreide Law Group announces that it is currently investigating potential claims on behalf of investors who have suffered losses inflicted by securities broker Patrick Noel Thayer [CRD#: 5735955, Lebanon, Ohio]. Evidently, Thayer worked at LPL Financial LLC from September 2020 to October 2022 and Parkland Securities LLC from April 2014 to September 2020. Notably, FINRA […]

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