Soreide Law Group is investigating possible investor claims against securities broker Amy Cash (also known as Amy Marjorie O'Brien) [CRD: 5765481, Fort Mill, SC]. Evidently, FINRA sanctioned the securities broker, who worked for LPL Financial LLC. Namely, Cash failed to provide information and documents to FINRA when it investigated potential FINRA rule infractions. Amy Cash […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Alan Feigenbaum (also known as Alan Scot Feigenbaum) [CRD: 3132230, Boynton Beach, FL]. Not only has FINRA sanctioned Feigenbaum for discretionary trading, but investors complained about the securities broker. However, Feigenbaum denies the allegations. Read on to learn more about the allegations against […]

Soreide Law Group is investigating possible investor claims against securities broker Ed Maklouf (also known as Ahmad Mohamed Maklouf) [CRD: 6092943, New York, NY]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck disclosed that investors complained about the securities broker, who worked for Spartan Capital Securities LLC. Notably, investors allege sales practice violations in these disputes, […]

Soreide Law Group is investigating possible investor claims against securities broker Aaron Brewer (also known as Aaron Weston Brewer) [CRD: 5451527, New York, NY]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck disclosed that investors complained about the securities broker, who worked for J.P. Morgan Securities LLC. Notably, investors allege sales practice violations in these disputes, […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Doug Maurer (also known as Aaron Douglas Maurer) [CRD: 3007121, White Plains, NY]. Not only has FINRA sanctioned Maurer for selling away, but investors complained about the securities broker. However, Maurer denies the allegations. Read on to learn more about the allegations against […]

Recently the Securities and Exchange Commission “SEC” filed a case styled SEC v. JMJ Capital Group and Richard Lee Ramirez. This is an SEC enforcement action filed in the United States District Court for the Southern District of California on September 30, 2022.  JMJ Capital Group (“JMJ”) is a California corporation and Richard Lee Ramirez (“Ramirez”) […]

The Financial Industry Regulatory Authority (FINRA) has fined and suspended New York broker, EDWARD SCOTT SHORT (EDWARD S SHORT), on January 31, 2023, over alleged violations of the Securities and Exchange Commission’s Regulation Best Interest, or Reg BI. Reg BI went into effect on June 20, 2020, and requires all broker/dealers to act in best […]

According to FINRA’s BrokerCheck, available to the public on FINRA’s website, BETSY LOU WHIPPLE (Betsy Whipple), a broker/financial advisor with Newbridge Securities Corporation of Hiko, Nevada, has had three “Customer Disputes” listed on her FINRA CRD report. Whipple has been registered with Newbridge Securities Corporation in Hiko, Nevada since March of 2018. She has been […]

According to FINRA’s BrokerCheck, available to the public on FINRA’s website, ANTHONY TRICARICO, formerly with Aegis Capital Corp. of New York, NY, has been subject to 3 “Customer Disputes” and three “Regulatory” issues.  Tricarico has been in the securities industry for 37 years and was listed as a broker with 12 firms. He was with […]