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, […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker James Pecoraro AKA James Robert Pecoraro [CRD#: 2440231, Garden City, NY]. However, Pecoraro denies the allegations. Read on to learn more about the allegations against Pecoraro. FINRA Sanctions SW Financial Securities Broker James Pecoraro For Unsuitable Trading Evidently, on August 4, 2022, FINRA […]

Soreide Law Group is investigating possible investor claims against securities broker Kaival Patel AKA Kaival Patel [CRD#: 4470522, Hackensack, NJ]. Notably, New Jersey Bureau Securities sanctioned the securities broker, who worked for Stifel Nicolaus Company. Allegedly, Patel was sanctioned because he was barred by FINRA. Here is a brief summary New Jersey Bureau Securities’ allegations […]

Soreide Law Group is investigating possible investor claims against securities broker James Parrelly AKA Jim Anthony Parrelly [CRD#: 728368, Dearborn, MI]. Evidently, FINRA sanctioned the securities broker, who worked for Investment Planners. Allegedly, Parrelly failed to testify when FINRA investigated the stockbroker for possible violations of FINRA rules. Here is a brief summary FINRA’s allegations […]

Soreide Law Group is investigating possible investor claims against securities broker Michael Ohlemacher AKA Michael Burton Ohlemacher [CRD#: 5759091, Maumee, OH]. Evidently, FINRA sanctioned the securities broker, who worked for WS Brokerage Services. Allegedly, Ohlemacher engaged in an undisclosed outside business activity. Here is a brief summary FINRA’s allegations against Ohlemacher. FINRA Sanctions WS Brokerage […]

Soreide Law Group is investigating possible investor claims against securities broker Kevin Nevin AKA Kevin Mark Nevin [CRD#: 2460059, Edina, MN]. Notably, FINRA sanctioned the securities broker, who worked for Dempsey Lord Smith LLC. Allegedly, Nevin failed to respond to FINRA’s request for information. Here is a brief summary FINRA’s allegations against Nevin. FINRA Sanctions […]

Soreide Law Group is investigating possible investor claims against securities broker Tarik Nehmatullah AKA Tarik Nehmatullah [CRD#: 6336491, Westminster, CO]. Notably, FINRA sanctioned the securities broker, who worked for Key Investment Services LLC. Allegedly, Nehmatullah failed to provide information and documents to FINRA when it investigated possible violations of FINRA rules. Here is a brief […]

Soreide Law Group is investigating possible investor claims against securities broker Patrick Murray AKA Patrick Reid Murray [CRD#: 2007449, Sandusky, OH]. Evidently, FINRA sanctioned the securities broker, who worked for UBS Financial Services. Allegedly, Murray engaged in an undisclosed outside business activity. Here is a brief summary FINRA’s allegations against Murray. FINRA Sanctions UBS Financial […]

Soreide Law Group is investigating possible investor claims against securities broker Mary Moose AKA Mary Moose Garlock and Mary Elizabeth Turner [CRD#: 3130178, Ocean Park, WA]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Cetera Advisors. Evidently, investors allege sales practice violations […]