The Securities and Exchange Commission (SEC) recently announced charges against, CLARICE CRYSTAL SAW (CLARICE SAW, CHIN SAW, CLARICE CHIN SAW) for allegedly defrauding an elderly client of approximately $2.4 million.  According to the allegations, Saw then used the funds to finance her own personal spending. According to the SEC complaint, the alleged victim is a […]

Soreide Law Group is investigating possible investor claims against William Robert Young (also known as Bill Young) (CRD: 4787488, Bethesda, Maryland). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for H. Beck Inc. Evidently, one or more investors alleged misconduct in these disputes, […]

Soreide Law Group is investigating possible investor claims against Steven Albert Bellino (CRD: 1278531, Woodbury, New York). Notably, FINRA sanctioned the securities broker, who worked for Equitable Advisors LLC. Allegedly, Bellino engaged in private securities transactions. Here is a brief summary of FINRA’s allegations against Bellino. Steven Bellino Sanctioned By FINRA For Private Securities Transactions […]

Soreide Law Group has filed a FINRA arbitration on behalf of their client (Claimant) against: CITIGROUP GLOBAL MARKETS INC., and their registered representative THOMAS PAUL TIBALDI (THOMAS P TIBALDI) (Respondents). The Claimant lives in New York and has been a client of CITIGROUP broker, THOMAS P TIBALDI for several years.  The Claimant is nearing retirement […]

Soreide Law Group is investigating possible investor claims against Ron Yehuda Itin (CRD: 2344151, Jersey City, New Jersey). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for E1 Asset Management Inc. Here is a brief summary of the disclosures about Itin. Itin Faced […]

Investors have come forward with complaints about securities broker Rick David Schofield (CRD: 2197999, Lakewood Ranch, Florida). Evidently, the securities broker, who worked for Money Concepts Capital Corp., discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Money Concepts Capital Corp. clients allege that Schofield made unsuitable recommendations, recommended investments which poorly performed, […]

Soreide Law Group is investigating possible investor claims against Richard F. Spettell (also known as Richard Frederic Spettell) (CRD: 1686392, New York, New York). Notably, FINRA sanctioned the securities broker, who worked for Morgan Stanley. Allegedly, Spettell caused the securities firm to maintain false records or books. Here is a brief summary of FINRA’s allegations […]

Soreide Law Group is investigating possible investor claims against Ray Anthony Garrido San Pedro (CRD: 4565686, Miami, Florida). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for National Securities Corp. Evidently, one or more investors alleged misconduct in these disputes, including that San […]

Soreide Law Group is investigating possible investor claims against Rande Scott Aaronson (CRD: 1758915, Lawrenceville, New Jersey). Notably, FINRA sanctioned the securities broker, who worked for David Lerner Associates Inc. Allegedly, Aaronson failed to supervise certain representatives. Here is a brief summary of FINRA’s allegations against Aaronson. Rande Aaronson Sanctioned By FINRA For Failure To […]