Soreide Law Group is investigating possible investor claims against securities broker Christopher Thomas Eriksson (CRD: 2487298, Wayzata, Minnesota). Notably, FINRA sanctioned the securities broker, who worked for Merrill Lynch Pierce Fenner Smith Inc. Allegedly, Eriksson borrowed client funds and engaged in an undisclosed outside business activity. Here is a brief summary of FINRA’s allegations against […]

Investors have come forward with complaints about securities broker Todd David Ellis (CRD: 2202633, New York, New York). Evidently, the securities broker, who worked for RBC Capital Markets LLC, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, RBC Capital Markets LLC clients allege that Ellis made unsuitable recommendations. For more on these […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Anthony Vincent DiDonna (CRD: 7283414, Woodbury, New York). Not only has FINRA sanctioned Didonna for failing to respond to FINRA’s request for information, but investors disputed his sales practices. However, Didonna denies the allegations. Read on to learn more about the allegations against […]

Investors have come forward with complaints about securities broker Robert Thomas Crothers (CRD: 1648677, Holbrook, New York). Notably, the securities broker, who worked for American Portfolios Financial Services Inc., discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, American Portfolios Financial Services Inc. clients allege that Crothers gave unsuitable advice, acted unethically, breached […]

Soreide Law Group is investigating possible investor claims against securities broker Frederick Lanfear Browne (CRD: 33217, Radnor, Pennsylvania). Notably, Janney Montgomery Scott LLC terminated the securities broker for cause. Supposedly, Browne possibly engaged in unauthorized trading. Here is a brief summary of Janney Montgomery Scott LLC’s allegations against Browne as well as information about investor […]

Joseph Orazio DeGregorio, a former broker from the New Jersey/New York area was ordered by the U.S. District Court for the Eastern District of New York to repay more than $1 million in ill-gotten gains. DeGregorio was civilly charged by the SEC with defrauding elderly clients according to a recent article in Financial Advisor. Degregorio was […]

Investors have come forward with complaints about securities broker William John Braun (also known as Bill Braun) (CRD: 1271500, Boca Raton, Florida). Evidently, the securities broker, who worked for National Securities Corporation, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, National Securities Corporation clients allege that Braun gave unsuitable advice. For more […]

Soreide Law Group is investigating possible investor claims against securities broker Sean Morgan Storm Boswick (CRD: 2491980, New York, New York). Notably, FINRA barred the securities broker, who worked for Brock Securities LLC. Supposedly, Boswick failed to provide information and documents to FINRA when it investigated him. Here is a brief summary of FINRA’s allegations […]

Investors have come forward with complaints about securities broker Gregory Patrick Bodkin (CRD: 3008389, New York, New York). Evidently, the securities broker, who worked for Worden Capital Management LLC, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Worden Capital Management LLC clients allege that Bodkin breached fiduciary duties, breached a contract, and […]