Soreide Law Group is investigating possible investor claims against securities broker Ellen Gayle Reynard (CRD: 6148906, Beaumont, Texas). Evidently, FINRA sanctioned the securities broker, who worked for Raymond James Financial Services Inc. Allegedly, Reynard falsified client information. Here is a brief summary of FINRA’s allegations against Reynard. FINRA Suspends Reynard For False Client Information Particularly, […]

FINRA sanctioned securities broker Maria Pia Acevez Perez (CRD: 2981386, Miami, Florida). Evidently, the securities broker, who worked for VectorGlobal WMG, disclosed a regulatory action on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Allegedly, Perez failed to comply with FINRA in a timely manner concerning an investigation. For more about this regulatory action against Reese, see […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Surage Kamal Roshan Perera (also known as Roshan Perera) (CRD: 4716321, Melville, New York). Evidently, investors disputed the sales practices of the securities broker, who worked for Aegis Capital Corporation. Additionally, the securities broker discloses a regulatory enforcement action. However, Perera denies the […]

Soreide Law Group is investigating possible investor claims against securities broker Dominic John Scalzi (CRD: 1689662, New York, New York). Evidently, FINRA sanctioned the securities broker, who worked for Deutsche Bank Securities Inc. Allegedly, Scalzi failed to respond to FINRA’s request for information. Here is a brief summary of FINRA’s allegations against Scalzi. Scalzi Barred […]

Investors have come forward with complaints about Ray Gene Reese (CRD: 1694620, Farmington, Montana). Evidently, the securities broker, who worked for Money Concepts Capital Corp, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Particularly, Money Concepts Capital Corp clients allege that Reese made unsuitable recommendations, breached a fiduciary duty, and made misrepresentations. For […]

Soreide Law Group is investigating possible investor claims against securities broker Larry Eugene Norton (also known as Larry Norton) (CRD: 1765551, Fresno, Texas). Evidently, FINRA sanctioned the securities broker, who worked for PFS Investments Inc. Allegedly, Norton engaged in private securities transactions. Here is a brief summary of FINRA’s allegations against Norton. FINRA Suspends Larry […]

Soreide Law Group is investigating possible investor claims against securities broker Michael Clarence Nolan (CRD: 1082281, Philadelphia, Pennsylvania). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that he voluntarily resigned from JP Morgan Chase Bank, NA. Evidently, an investor also alleges sales practice violations in a dispute, including that Nolan engaged in unauthorized trading. Here […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Steven M. Netzel (also known as Steve Netzel) (CRD: 2863170, Chandler, Arizona). Not only has FINRA sanctioned Netzel for unsuitable recommendations, but one or more investors disputed the sales practices of the securities broker. However, Netzel denies the allegations. Read on to learn […]

Investors have come forward with complaints about Hagop Jack Nalbandian (CRD: 2921246, Encino, California). Evidently, the securities broker, who worked for Western International Securities Inc., discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Particularly, Western International Securities Inc. clients allege that Nalbandian was negligent and made unsuitable recommendations. For more on these disclosures […]