Soreide Law Group is investigating possible investor claims against securities broker Jonathan Rich AKA Jonathan Craig Rich [CRD#: 2271478, New York, NY]. Notably, FINRA sanctioned the securities broker, who worked for National Securities Corp. Allegedly, Rich failed to testify when FINRA investigated the stockbroker for possible violations of FINRA rules. Here is a brief summary […]

Soreide Law Group is investigating possible investor claims against securities broker Richard Reynolds AKA Richard Foerster Reynolds [CRD#: 2162706, Garden City, NY]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Worden Capital Management. Notably, investors allege sales practice violations in these disputes, […]

Investors have come forward with complaints about securities broker Ray Reese AKA Ray Gene Reese [CRD#: 1694620, Newark, NJ]. Notably, the securities broker, who worked for Money Concepts Capital Corp., discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Money Concepts Capital Corp. clients allege that Reese made unsuitable recommendations and misrepresentations and […]

Soreide Law Group is investigating possible investor claims against securities broker Scott Reed AKA Scott Wayne Reed [CRD#: 3007033, Scottsdale, AZ]. Notably, Arizona Corporation Commission Securities Division sanctioned the securities broker, who worked for Wells Fargo Advisors. Allegedly, Reed engaged in private securities transactions. Here is a brief summary of Arizona Corporation Commission Securities Division’s […]

Soreide Law Group is investigating possible investor claims against securities broker Marc Reda AKA Marc Augustus Reda [CRD#: 2757330, New York, NY]. Notably, FINRA sanctioned the securities broker, who worked for Spartan Capital Securities. Allegedly, Reda churned a client’s account and made unsuitable recommendations and unauthorized transactions. Here is a brief summary FINRA’s allegations against […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Brian Radoo [CRD#: 2558458, North Woodmere, NY], who worked for Next Financial Group. Additionally, the securities broker discloses a regulatory enforcement action. However, Radoo denies the allegations of sales practice violations. Read on to learn more about the allegations against Radoo. Next Financial […]

Investors have come forward with complaints about securities broker Thais Piotrowski AKA Thais Drummond Moreira [CRD#: 4729077, Boca Raton, FL]. Evidently, the securities broker, who worked for Ameriprise Financial Services, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Ameriprise Financial Services clients allege that Piotrowski made unsuitable recommendations. For more on these […]

Soreide Law Group is investigating possible investor claims against securities broker Murray Petersen AKA Todd Petersen [CRD#: 1311730, Roseville, CA]. Notably, FINRA sanctioned the securities broker, who worked for WFG Investments and SCF Securities. Allegedly, Petersen engaged in an undisclosed outside business activity and engaged in a private securities transaction. Here is a brief summary […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Michael Pellegrino AKA Michael August Pellegrino [CRD#: 5900843, Oakbrook Terrace, IL]. However, Pellegrino denies the allegations. Read on to learn more about the allegations against Pellegrino. FINRA Sanctions Taylor Capital Management Inc. Securities Broker For Failure To Comply Evidently, on May 27, 2022, […]