Soreide Law Group is currently investigating potential claims on behalf of investors who may have incurred losses through securities broker Thomas Diamante (also known as Tom Diamante), CRD#: 1645257 (Babylon Village, New York). Diamante was affiliated with SW Financial from January 24, 2008, to April 17, 2023. Notably, investors brought disputes about Diamante alleging negligence […]

On September 5, 2023, KEVIN JOSEPH CARROLL, who was most recently with Wells Fargo and then LPL Financial, both of Glastonbury, Connecticut, was fined $10,000 and suspended for 4 months for allegedly borrowing money from one of his clients, who was also a friend.  Also, he allegedly did not get other clients’ written approval for trades […]

Soreide Law Group is actively investigating potential claims on behalf of investors who sustained losses associated with Surage Kamal Roshan Perera (CRD: 4716321, Melville, New York). Specifically, Perera was affiliated with Aegis Capital Corp. from April 18, 2018, to September 12, 2022, and prior to that, with Maxim Group LLC from November 21, 2017, to […]

Soreide Law Group is currently investigating potential claims on behalf of investors who may have sustained losses through the actions of securities broker Stephen Curtis Lawler Jr. (CRD: 1193477, Peoria, Illinois). Lawler has been registered with Cetera Advisors LLC since September 8, 2022, and with Cetera Financial advisors LLC since November 12, 2020. Notably, he […]

Soreide Law Group has filed a FINRA arbitration on behalf of the customers who lost money in ICap Equity, LLC and it’s affiliated Funds. On September 12, 2023, iCap announced that its plans to reshape its failed business. Soreide Law Group has already filed one claim in the Financial Industry Regulatory Authority against Somerset Securities […]

Soreide Law Group is investigating potential claims on behalf of investors who sustained losses due to the actions of Shirley Ank Wong (also known as Ankuan Huang, Kuan An Huang, and Shirley Ankuan Huang) (CRD: 4869184, Daly City, California). She has been registered with NI Advisors since January 7, 2014, as a financial advisor and […]

On September 19, 2023, the Financial Industry Regulatory Authority (FINRA) barred LESLIE DON JACKSON (LES JACKSON) a former financial advisor accused of allegedly failing to notify his firm about promissory notes that he had recommended to investors and/or bought for himself. Jackson, according to FINRA’s BrokerCheck, was registered with Momentum Independent Network, Inc. of Dallas, […]

Soreide Law Group is conducting an investigation into the actions of Scott J. Roslonowski (CRD: 4795893, Indian Harbour Beach, Florida), specifically focusing on potential claims on behalf of investors who may have suffered losses. Roslonowski works for Ameriprise Financial Services, LLC as of October 5, 2009, and operates out of the firm's Indian Harbour Beach, […]

Soreide Law Group is presently investigating potential claims on behalf of investors who lost money due to Ronald Joseph Sagasser (also known as Ron Sagasser) (CRD: 5400879, Miamisburg, Ohio). Notably, Sagasser worked for W&S Brokerage Services, Inc. from May 11, 2018, to July 18, 2022. Evidently, FINRA sanctioned Sagasser on July 6, 2023. Moreover, Sagasser […]