Soreide Law Group is investigating possible investor claims against securities broker Robin Auguste (also known as Robin Auguste) [CRD: 6874949, Chicago, IL]. Notably, FINRA sanctioned the securities broker, who worked for J.P. Morgan Securities LLC. Allegedly, Auguste failed to respond to FINRA’s request for information. Here is a brief summary of FINRA’s allegations against Auguste. […]

Soreide Law Group is investigating possible investor claims against securities broker Robert Foley (also known as Robert Patrick Foley) [CRD: 6060234, Red Bank, NJ]. Evidently, FINRA sanctioned the securities broker, who worked for Wynston Hill Capital LLC. Allegedly, Foley failed to supervise registered representatives. Here is a brief summary of FINRA’s allegations against Foley. FINRA […]

Soreide Law Group is investigating possible investor claims against securities broker Robert Spencer (also known as Robert Jonathan Spencer) [CRD: 431878, Cheektowaga, NY]. Evidently, FINRA punished the securities broker, who worked for Cetera Advisor Networks LLC. Allegedly, Robert Spencer did not provide information and documents to FINRA when it investigated potential FINRA rule violations. Here […]

Soreide Law Group is investigating possible investor claims against securities broker Raymond Jennison (also known as Raymond Ellis Jennison Jr.) [CRD: 867502, Dallas, TX]. Evidently, FINRA sanctioned the securities broker, who worked for First Canterbury Securities Inc. Allegedly, Raymond Jennison failed to testify when FINRA investigated the securities broker for potential FINRA rule infractions. Also, […]

Soreide Law Group is investigating possible investor claims against securities broker Nicholas Teutonico (also known as Patrick Nicholas Teutonico) [CRD: 2875434, Seaford, NY]. Mainly, FINRA sanctioned the securities broker, who worked for Network 1 Financial Securities Inc. Allegedly, Teutonico engaged in excessive trading. Here is a brief summary of FINRA’s allegations against Teutonico. FINRA Sanctions […]

Soreide Law Group is investigating possible investor claims against securities broker Nathan Plumb (also known as Nathan Marek Plumb) [CRD: 4598158, Madison, WI]. Evidently, FINRA sanctioned the securities broker, who worked for Lincoln Financial Advisors Corporation. Allegedly, Plumb engaged in an undisclosed outside business activity. Here is a brief summary of FINRA’s allegations against Nathan […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Miche Jean (also known as Miche D. Jean) [CRD: 5918186, Rockville, MD]. Not only has FINRA sanctioned Jean for unauthorized transactions, but investors complained about the securities broker. However, Jean denies the allegations. Read on to learn more about the allegations against Jean. […]

Soreide Law Group is investigating possible investor claims against securities broker Michael Knittel (also known as Michael Murray Knittel) [CRD: 3274235, Dorado Hills, CA]. Evidently, FINRA sanctioned the securities broker, who worked for Fortune Financial Services Inc. Allegedly, Knittel engaged in private securities transactions. Also, an investor filed a dispute about him. Here is a […]

Soreide Law Group is investigating possible investor claims against securities broker Michael Ferrera (also known as Michael G. Ferrera Jr.) [CRD: 4865324, Ontario, CA]. Mainly, FINRA sanctioned the securities broker, who worked for Sagepoint Financial Inc. Allegedly, Ferrera engaged in an undisclosed outside business activity. Here is a brief summary of FINRA’s allegations against Michael […]