Soreide Law Group has learned of possible investor claims against securities broker Luis Manuel Espinoza (CRD: 4474528, Riverside, California). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for First Financial Equity Corporation. Evidently, investors allege sales practice violations in these disputes, including that […]

FINRA reports important information about securities broker Dana H. Davis (CRD: 1707708, Hauppauge, New York). Not only has FINRA sanctioned Davis for making unsuitable recommendations and inappropriately used margin, but investors disputed the sales practices of the securities broker. However, Davis denies the allegations. Read on to learn more about the allegations against Davis. FINRA […]

Investors have voiced complaints about securities broker Robert D'Agosta (CRD: 1903105, Center Valley, Pennsylvania). Notably, the securities broker, who worked for Berthel Fisher Company Financial Services Inc., disclosed client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Namely, Berthel Fisher Company Financial Services Inc. clients allege that D'Agosta committed sales practice violations, including providing unsuitable […]

Investors complained about securities broker David Fleming Crossan (CRD: 2537752, Manchester, New Jersey). Notably, the securities broker, who worked for Wells Fargo Clearing Services LLC, disclosed client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Namely, Wells Fargo Clearing Services LLC clients allege that Crossan breached a fiduciary duty and gave unsuitable advice, among other […]

Investors have come forward with complaints about securities broker Cynthia Mary Couyoumjian (also known as Cynthia Mary Koczkodan) (CRD: 1456630, Tustin, California). Notably, the securities broker, who worked for Independent Financial Group LLC, disclosed client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Namely, Independent Financial Group LLC clients allege that Couyoumjian gave unsuitable advice. […]

FINRA reports important information about securities broker Darryl Matthew Cohen (CRD: 2786613, Westlake Village, California). Evidently, investors disputed the sales practices of the securities broker, who worked for Morgan Stanley. Additionally, the securities broker discloses a regulatory enforcement action. However, Cohen denies the allegations of sales practice violations. Read on to learn more about the […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Todd Anthony Cirella (CRD: 2396336, Melville, New York). Not only has FINRA sanctioned Cirella for making unsuitable recommendations, but investors disputed the sales practices of the securities broker. However, Cirella denies the allegations. Read on to learn more about the allegations against Cirella. […]

Investors complained about securities broker Leo Li-Yuan Chien (CRD: 4169619, San Gabriel, California). Notably, the securities broker, who worked for Cetera Investment Services LLC, disclosed client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Namely, Cetera Investment Services LLC clients allege that Chien gave unsuitable advice. For more on these disclosures about Chien, see below. […]

According to a recent Bloomberg article, Rashawn Russell, 27, a former Deutsche Bank investment banker, was arrested and accused by US prosecutors of defrauding multiple investors. Russell was charged with allegedly engaging in a Ponzi-like cryptocurrency fraud in which he falsely promised investors guaranteed returns.  He allegedly used the money for his own personal expenses, […]