Soreide Law Group is looking into possible investor claims against securities broker Ronald Lewis Millar III (CRD: 3064161, Weston, Florida). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for MML Investors Services LLC. Evidently, investors allege sales practice violations in these disputes, including […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Mark Martino (CRD: 1010228, White Plains, New York). Not only has FINRA sanctioned Martino for failing to perform due diligence, but investors disputed the sales practices of the securities broker. However, Martino denies the allegations. Read on to learn more about the allegations […]

Soreide Law Group, based in Pompano Beach, Florida, obtained the following information from FINRA’s BrokerCheck on the following Florida broker/financial advisor: MICHAEL NICHOLAS VASSALOTTI (MICHAEL VASSALOTTI) MICHAEL VASSALOTTI is currently registered both as an investment advisor and a broker, since 2012, with UBS FINANCIAL SERVICES INC. of WEST PALM BEACH, FLORIDA. Vassalotti was previously listed […]

Soreide Law Group has learned of possible investor claims against securities broker David Lau (also known as David Luu) (CRD: 4567411, Santa Rosa, California). Particularly, FINRA sanctioned the securities broker, who worked for Morgan Stanley. Allegedly, Lau engaged in discretionary trading. Here is a brief summary of FINRA’s allegations against Lau. Lau Sanctioned By FINRA […]

Soreide Law Group has learned of possible investor claims against securities broker Robert Koestler (also known as Bob Koestler) (CRD: 7023515, Prairie Du Chien, Wisconsin). Particularly, FINRA sanctioned the securities broker, who worked for LPL Financial LLC. Allegedly, Koestler failed to testify when the regulator investigated him for potentially violating FINRA rules. Here is a […]

Investors have voiced complaints about securities broker Brian Charles Kennedy (CRD: 2321416, Camp Hill, Pennsylvania). Notably, the securities broker, who worked for Lincoln Financial Advisors Corporation, disclosed client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Namely, Lincoln Financial Advisors Corporation clients allege that Kennedy made unsuitable recommendations. For more on these disclosures about Kennedy, […]

ELIO CHIARELLI JR (ELIO CHIARELLI) CRD#: 5824081, a financial advisor from Gainesville, Florida, had a “Customer Dispute” filed against him recently, which is pending, involving GWG L bonds.  According to FINRA’s BrokerCheck, available to the public on FINRA’s website, Chiarelli is currently listed as a financial advisor with BISON WEALTH, LLC, doing business as CAPITAL […]

Soreide Law Group is looking into possible investor claims against securities broker Douglas Kaiser (also known as Doug Kaiser) (CRD: 1674570, Boca Raton, Florida). Particularly, FINRA sanctioned the securities broker, who worked for Westpark Capital Inc. Allegedly, Kaiser failed to supervise markdowns and markups at Westpark Capital Inc. Here is a brief summary of FINRA’s […]

Soreide Law Group is looking into possible investor claims against securities broker Cathie Ann Joughin (also known as Cathie Joughin Barnard) (CRD: 1044884, Bakersfield, California). Particularly, FINRA sanctioned the securities broker, who worked for Ameriprise Financial Services LLC. Allegedly, Joughin did not provide documents and information to FINRA during its investigation into possible violations of […]