Soreide Law Group is investigating possible investor claims against securities broker Jeremy Fortner AKA Jeremy W. Fortner [CRD#: 4811478, Beverly Hills, CA]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Wells Fargo Advisors. Evidently, investors allege sales practice violations in these disputes, […]

Soreide Law Group is investigating possible investor claims against securities broker Palmery Desir AKA Paul Desir [CRD#: 5559016, Huntington, NY]. Evidently, FINRA sanctioned the securities broker, who worked for Richfield Orion International. Allegedly, Desir made unsuitable recommendations. Here is a brief summary FINRA’s allegations against Desir. FINRA Sanctions Richfield Orion International Securities Broker For Unsuitable […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Albert Foronda AKA Albert Foronda [CRD#: 5737620, New York, NY]. Evidently, investors disputed the sales practices of the securities broker, who worked for Worden Capital Management. Additionally, the securities broker discloses a regulatory enforcement action. However, Foronda denies the allegations of sales practice […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Michael Fasciglione [CRD#: 1806486, Garden City, NY]. Evidently, investors disputed the sales practices of the securities broker, who worked for Aegis Capital Corp. Additionally, the securities broker discloses a regulatory enforcement action. However, Fasciglione denies the allegations of sales practice violations. Read on […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Andrew Elsoffer AKA Andrew Bruce Elsoffer [CRD#: 2580009, Pepper Pike, OH]. Evidently, investors disputed the sales practices of the securities broker, who worked for Stifel Nicolaus Company. Additionally, the securities broker discloses a regulatory enforcement action. However, Elsoffer denies the allegations of sales […]

Investors have come forward with complaints about securities broker John Egan AKA John Eugene Egan [CRD#: 818750, Boca Raton, FL]. Evidently, the securities broker, who worked for Newbridge Securities Corp., discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Newbridge Securities Corp. clients allege that Egan breached a fiduciary duty, breached a contract, […]

Investors have come forward with complaints about securities broker Jimmy Driggers AKA James Yang Driggers and Jim Driggers [CRD#: 1359593, Sarasota, FL]. Evidently, the securities broker, who worked for Morgan Stanley Smith Barney, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Morgan Stanley Smith Barney clients allege that Driggers made unauthorized transactions. […]

Soreide Law Group has filed a FINRA arbitration on behalf of their clients (Claimants) against: ARQUE CAPITAL, LTD., and their registered representative, RONALD L MCLEOD (Respondents).  The Claimants are elderly and living in Florida. They were looking for conservative investments that could generate stable income to sustain them through retirement with minimal risk of loss […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Brian Donnelly AKA Brian F. Donnelly [CRD#: 4288121, Iselin, NJ]. However, Donnelly denies the allegations. Read on to learn more about the allegations against Donnelly. First Allied Securities Broker Sanctioned By FINRA For Private Securities Transactions Evidently, on June 21, 2022, FINRA issued […]