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March 7, 2024
Rahn Lund Involved In RBC Capital Markets Clients’ Disputes

Soreide Law Group is investigating possible investor claims on behalf of those who incurred losses through securities broker Rahn Stuart Lund [CRD: 1462843, Rochester, Minnesota]. Evidently, Lund has worked for Stifel Nicolaus Company Incorporated since March 8, 2012. Continue reading to learn more about Rahn Lund's disclosures. Stifel Nicolaus Investor Accused Lund Of Misrepresentation Specifically, […]

March 6, 2024
Paul Mauro Involved In SagePoint Financial Clients’ Unsuitability Disputes

Investors may have experienced damages due to securities broker Paul Joseph Mauro [CRD: 824304, Bolton, Massachusetts], according to disclosures on the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Mauro previously worked for Mosaic Wealth Inc. in Bolton, MA, from September 1, 2023, to January 19, 2024, and for SagePoint Financial Inc. in Westborough, MA, from […]

March 5, 2024
Michael Hamilton Facing UBS Clients’ Complaints About Suitability

Some investors have potentially experienced damages because of securities broker Michael Harvey Hamilton [CRD: 2263524, Leawood, Kansas], according to investor dispute disclosures on the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Hamilton has worked for UBS Financial Services Inc. since April 25, 2008. Continue reading to learn more about Hamilton's disclosures. UBS Financial Services Inc. […]

March 5, 2024
Melissa Spickler Involved In Merrill Lynch Clients’ Unsuitable Advice Complaints

Soreide Law Group is reviewing potential investor claims on behalf of individuals who incurred losses from securities broker Melissa Plotkin Spickler (also known as Melissa P. Plotkin, Melissa P. Plotkins, and Melissa Plotkinspickler) [CRD: 719397, Bloomfield Hills, Michigan]. Notably, Spickler has worked for Merrill Lynch Pierce Fenner Smith Incorporated as both a broker and a […]

March 4, 2024
Jeffrey W Davidson Fined and Suspended

The Financial Industry Regulatory Authority (FINRA) has fined, JEFFREY WAYNE DAVIDSON (Jeffrey W Davidson) $15,000 and suspended him for 21 months from associating with any FINRA member in all capacities beginning 2/19/2024 and ending 11/18/2025. Davidson was accused of raising over $10 million for a fitness company he owns without receiving written approval from this […]

March 4, 2024
Malay Kumar Receives FINRA Suspension For Unsuitable Advice

FINRA issued sanctions to Malay Kumar [CRD: 2482909, Mason, Ohio], according to a regulatory action the regulator brought late last year. Notably, Kumar worked as a financial advisor and broker, with his last employment at Cambridge Investment Research Inc. in Mason, Ohio, from January 10, 2018, to December 21, 2021. Here’s more on FINRA’s sanctions […]

March 3, 2024
John Abrams Involved In Equitable Advisors Clients’ Disputes

Investors might have sustained losses due to John Lawrence Abrams (also known as Jack Abrams) [CRD: 2795856, Boca Raton, Florida], according to disclosures on the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Abrams was previously registered as a financial advisor and securities broker, with employment at Equitable Advisors LLC in Boca Raton, FL from November […]

March 2, 2024
John Kersey Expelled, Involved In Northwestern Mutual Client Dispute

Soreide Law Group is looking into possible investor claims on behalf of those who incurred losses through securities broker John Jay Kersey [CRD: 1480524, Cincinnati, Ohio]. Notably, Kersey worked for Northwestern Mutual Investment Services LLC from June 8, 2001, to June 23, 2023. Here’s more on the FINRA sanctions against Kersey and investor disputes involving […]

March 2, 2024
Spartan Broker Joao Pinto Sanctioned And Involved In Investor Dispute

Soreide Law Group is reviewing potential investor claims on behalf of individuals who incurred losses from securities broker Joao Amorim Pinto [CRD: 6298233, New York, New York]. Pinto has worked for Spartan Capital Securities LLC since October 22, 2019. Read below to learn more about Pinto’s disclosures, which include FINRA sanctions and an investment dispute. […]

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