Broker Mirsad Muharemovic Faces Arive Investor Dispute About Alleged Unsuitable Trading FINRA BrokerCheck indicates that investors alleged sales practice violations involving securities broker Mirsad A. Muharemovic “Mirso Muharemovic” (CRD#: 3122589, Staten Island, New York) and that those violations resulted in damages. Particularly, Muharemovic, who worked for securities firms Arive Capital Markets (his employer since June […]

Bennett Robert Zamani (Bennett R Zamani CRD#: 6198730) was fined $27,500 and suspended for 14 months by the Financial Industry Regulatory Authority (FINRA).  Zamani is a former broker from Morgan Stanley in Paramus, New Jersey, who allegedly operated an unapproved day trading newsletter and used a personal phone for business texts with customers. On May […]

Client Of IFG Files Dispute Involving Alternative Investments By Shim Plotkin Soreide Law Group is examining investor complaints concerning securities broker Shimshon Plotkin “Shim Plotkin” (CRD#: 2431863, Chevy Chase, Maryland), as disclosed on FINRA BrokerCheck. Evidently, Plotkin worked for Independent Financial Group LLC (2011 - present). Also, he worked for Pacific West Securities Inc. (2006 […]

Client Of First Allied Securities Files Dispute About Larry Boggs' Annuity Recommendations Investment loss recovery counsel at Soreide Law Group provides you with new information on securities broker Larry Glenn Boggs (CRD#: 1874727, Atlanta, Georgia). Notably, Boggs discloses information about investor disputes on FINRA BrokerCheck. Evidently, he was a securities broker at First Allied Securities  […]

Soreide Law Group is currently investigating potential claims made by investors who purchased GWG L Bonds through PORTSMOUTH FINANCIAL SERVICES and/or their registered representative, KELLY S LAWSON (Also known as KELLY S OTOOLE, KELLY SUELLYN OTOOLE).  Allegedly, other PORTSMOUTH FINANCIAL clients may have also been sold GWG L Bonds in large concentrations. According to a […]

Investor Dispute Concerns Tuan Ngo And VFG Securities New FINRA BrokerCheck disclosures concern securities broker Tuan Anh Ngo “Toon Ngo” (CRD#: 2819426, New York, New York). Evidently, Ngo worked as a financial advisor for VFG Advisors from 2011 to 2018. Also, he was a securities broker for VFG Securities Inc. from 2010 to 2017. Here […]

Barred Securities Broker Ian Ha Involved In AXA Advisors Client Disputes The Financial Industry Regulatory Authority (FINRA) provides important information in regard to securities broker Ian Ha (CRD#: 5679255, Los Angeles, California). It appears that the disclosures involving Ha may concern his employment at securities firms Infinity Financial Services (his employer from 2018 to 2020) […]

FINRA, SEC Take Action Against Mike Conte (Fusion Analytics) FINRA BrokerCheck indicates that investors alleged improper sales practices involving securities broker Michael James Conte “Mike Conte” (CRD#: 2646071, St. James, NY) and that those violations resulted in damages. Notably, Conte was a securities broker at Fusion Analytics Securities LLC during the time of the allegations […]

Broker Dudley Stephens Sanctioned By FINRA, Involved In An Investor Dispute Soreide Law Group is reviewing investor complaints concerning securities broker Dudley Franklin Stephens “Stephen Franklin Dudley” (CRD#: 4119268, New York, New York), as disclosed on FINRA BrokerCheck. It appears that Stephens worked for Coastal Equities (2016 to 2018) and Prospera Financial Services (2014 to […]