The Florida-based, Soreide Law Group, has been contacted by investors who were allegedly recommended purchasing GWG L Bonds through broker, DEAN ROBERT NOWAK (CRD#: 1091819), currently registered with Newbridge Securities Corporation of Winter Park, Florida. GWG Holdings, Inc. (GWGH) is a financial services company that sells life insurance bonds. The L Bond was created by […]

Cetera And Girard Clients File Suitability Disputes Involving Securities Broker Robert Wolfe Soreide Law Group provides this update on securities broker Robert Brian Wolfe (CRD#: 2268259, Fort Lauderdale, FL). Evidently, Wolfe worked as a securities broker or financial advisor at Girard Securities from 2009 to 2017, Cetera Advisor Networks from 2017 to 2020, Mercer Allied […]

Transamerica Client Files Dispute Involving Barred Securities Broker Mark Smith The Financial Industry Regulatory Authority (FINRA) provides important information in regard to the disclosures of securities broker Mark Smith (CRD#: 5776360, Greenwood Village, Colorado). This includes a FINRA bar and an investor dispute concerning his employment at Transamerica Financial Advisors (his employer from January 2012 […]

MARC FREDERICK KORSCH (MARC F KORSCH, CRD#: 5525226), previously registered with Arkadios Capital (2021) and Centaurus Financial Inc. (2014 to 2021), both of Sarasota, Florida, was permanently barred by FINRA on December 1, 2021, according to FINRA’s BrokerCheck, because he failed to respond to FINRA’s requests for information. Soreide Law Group, based in Florida, is […]

On April 12, 2022, John Winslow (JOHN SCOTT WINSLOW, CRD#: 3071933), formerly with Edward Jones of Gig Harbor, Washington, was barred by the Financial Industry Regulatory Authority (FINRA) from acting as a broker or otherwise associating with a broker/dealer firm. Winslow was previously registered both as a broker and as an investment advisor. According to […]

The Florida-based, Soreide Law Group, has been contacted by investors who experienced losses through the purchase of GWG Holdings L Bonds.  These investors were clients of MICHAEL JOSEPH WHITAKER (CRD#: 6316100).  Whitaker, a broker/investment advisor is currently listed with NEWBRIDGE SECURITIES CORPORATION of THE VILLAGES, FLORIDA. GWG Holdings, Inc. (GWGH) is a financial services company […]

TONY BAROUTI (AHMAD AGHA BAROUTI, AHMAD BAROUTI, CRD#: 3031995), a broker currently registered with Emerson Equity LLC in Los Angeles, California, has investor complaints allegedly due to the sale of GWG L Bonds underwritten by GWG Holdings Inc.(GWGH), which has declared bankruptcy. According to a recent article in InvestmentNews, Emerson Equity, based in San Mateo, […]

On April 14, 2022, SHAWN EDWARD GOOD (SHAWN E GOOD, CRD#: 2022168) was barred by FINRA from acting as a broker or otherwise associating with a broker/dealer firm. Good was previously registered both as a broker and as an investment advisor. There was also a complaint filed against Good by the SEC on April 18, […]

On April 18, 2022, the Financial Industry Regulatory Authority (FINRA) barred: PHILIP ANTHONY RIPOSO (CRD#: 400056), formerly with  UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER of Cave Creek, Arizona. According to the FINRA report, without admitting or denying FINRA’s findings, PHILIP ANTHONY RIPOSO consented to the sanction and to the entry of findings […]