Soreide Law Group is investigating possible investor claims against Andrew Perry (also known as Andrew Fredric Perry) (CRD: 1726938, Margate, New Jersey). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for UBS Financial Services Inc. Notably, investors allege sales practice violations in these […]

Adam S Kaplan and Daniel E Kaplan, 35 year-old twin brothers who were both registered as brokers and financial advisors, have been charged by the Securities and Exchange Commission (SEC) with misappropriating more than $5 million from their clients.  According to a recent article in Financial Advisor IQ, Adam S Kaplan and Daniel E Kaplan, allegedly engaged in illegal activities […]

The Wall Street Journal recently reported that North Carolina insurance entrepreneur, Greg Lindberg, was indicted on charges alleging that he had directed a criminal scheme to defraud policyholders of hundreds of millions of dollars which in part financed his lavish lifestyle. These new charges from the Western District of North Carolina are the latest charges in […]

Soreide Law Group is investigating possible investor claims against securities broker Wayne Ribnick (also known as Wayne Stuart Ribnick) [CRD: 2682822, Malibu, CA]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck disclosed that investors complained about the securities broker, who worked for Securities America Inc. Notably, investors allege sales practice violations in these disputes, including that […]

Soreide Law Group is investigating possible investor claims against securities broker Todd Kling (also known as Todd Franklin Kling) [CRD: 3034284, New York, NY]. Mainly, FINRA sanctioned the securities broker, who worked for Joseph Stone Capital LLC. Allegedly, Kling made excessive trades. Here is a brief summary of FINRA’s allegations against Kling. FINRA Sanctions Todd […]

Soreide Law Group is investigating possible investor claims against securities broker TJ Fazzone (also known as Timothy Jay Fazzone) [CRD: 1610976, Dublin, OH]. Notably, FINRA sanctioned the securities broker, who worked for NYLife Securities LLC, because Fazzone allegedly converted funds. Here is a brief summary of FINRA’s allegations against Fazzone. FINRA Sanctions Fazzone For Conversion […]

Soreide Law Group is investigating possible investor claims against securities broker Stephen Tosha (also known as Stephen Patrick Tosha) [CRD: 5970854, Dallas, TX]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck disclosed that investors complained about the securities broker, who worked for Merrill Lynch Pierce Fenner Smith Incorporated. CA Dept. Of Insurance Sanctions Stephen Tosha Over […]

Soreide Law Group is investigating possible investor claims against securities broker Scott Martinson (also known as Scott Randall Martinson) [CRD: 2509952, Melville, NY]. Evidently, FINRA sanctioned the securities broker, who worked for First Standard Financial Company LLC. Allegedly, Martinson failed to supervise registered representatives. Also, investors disputed Martinson’s sales practices. Here is a brief summary […]

Soreide Law Group is investigating possible investor claims against securities broker RD Washington (also known as Rodney Deleths Washington) [CRD: 1275777, New Albany, OH]. Evidently, FINRA sanctioned the securities broker, who worked for UBS Financial Services Inc. Allegedly, Washington failed to provide information and documents to FINRA when it investigated potential FINRA rule infractions. Moreover, […]