Investor Brings Dispute About Securities Broker Hal Schwartz's Investment Strategy The Financial Industry Regulatory Authority (FINRA) contains important investor-related information concerning securities broker Harold Alan “Hal” Schwartz (CRD#: 841225, Winter Springs, Florida). Namely, the securities broker is involved in three investor disputes. Clients allege sales practice violations at Leaders Group or Royal Alliance. It also […]

Morgan Stanley Clients Bring Investment Disputes Concerning Broker Michael Rulison Soreide Law Group comes to you with new information regarding securities broker Michael Edward Rulison (CRD#: 407131, Syracuse, New York). Evidently, Rulison worked for securities firms RBC Dain Rauscher, Citigroup Global Markets, and Morgan Stanley. In fact, he joined Morgan Stanley in 2009 as a […]

Securities Broker Lee Rosenberg Is Involved In Investor Disputes Concerning Suitability The Financial Industry Regulatory Authority (FINRA) confirms through BrokerCheck that five investors filed disputes about securities broker Lee Evan Rosenberg (CRD#: 1010402, Jericho, New York). Evidently, Rosenberg worked for securities firm Cadaret Grant beginning in 1988 and currently works as a securities broker and […]

Broker RJ Bernstein (Morgan Stanley, Wells Fargo) Faces Investor Allegations Of Sales Practice Violations Soreide Law Group is reviewing investor disputes against securities broker Richard Jay “RJ” Bernstein (CRD#: 1113777, Los Angeles, California). Evidently, Bernstein worked for securities firms Merrill Lynch, Bear Stearns, Prudential Securities, Salomon Smith Barney, UBS Financial Services, Morgan Stanley, and Wells […]

Soreide Law Group is currently investigating claims that investors have made against brokers/financial advisors who may have made recommendations to purchase GWG L Bonds. JAMES EARL WILLIAMS of NEWBRIDGE SECURITIES CORPORATION in Boca Raton, Florida, allegedly may have recommended to certain clients the purchase of GWG L Bonds. GWG Holdings is the issuer of the […]

Shearson Financial Clients Voice Concerns About Broker Douglas Ellman's Trading Practices The Financial Industry Regulatory Authority (FINRA) provides new information regarding securities broker Douglas Keith Ellman (CRD#: 1673088, Boca Raton, Florida). Namely, the securities broker, who worked for Shearson Financial Services beginning in June 2003, is involved in three investor disputes where investors allege sales […]

Morgan Stanley Clients Voice Problems With Suitability Of Securities Broker Michael Ralby's Transactions The investment loss recovery team at Soreide Law Group provides updates from time to time on securities brokers who are involved in investor disputes. The firm comes to you with a new update regarding securities broker Michael Bruce Ralby (CRD#: 1301072, Boca […]

According to a recent article in InvestmentNews, the Financial Industry Regulatory Authority (FINRA) says barred a former broker from Cetera Advisors of Avon, Connecticut, Marianne O’Shee Smith, for allegedly using client checks totaling $45,100 to buy mutual fund shares for someone from her own family. The clients, according to InvestmentNews, all senior citizens, allegedly directed […]

Client Of TD Ameritrade Takes Issue With Securities Broker Kwasi Aggor's Sales Practices Soreide Law Group provides you with an update regarding securities broker Kwasi Mensah Aggor (CRD#: 4974222, Providence, Rhode Island). Evidently, the securities broker worked for firms AXA Advisors (2005 to 2007) and TD Ameritrade (2008 to 2018). Notably, FINRA barred Aggor as […]