Latest Securities Lawyer News

Soreide Law Group is investigating possible investor claims against securities broker Nathan Plumb (also known as Nathan Marek Plumb) [CRD: 4598158, Madison, WI]. Evidently, FINRA sanctioned the securities broker, who worked for Lincoln Financial Advisors Corporation. Allegedly, Plumb engaged in an undisclosed outside business activity. Here is a brief summary of FINRA’s allegations against Nathan […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Miche Jean (also known as Miche D. Jean) [CRD: 5918186, Rockville, MD]. Not only has FINRA sanctioned Jean for unauthorized transactions, but investors complained about the securities broker. However, Jean denies the allegations. Read on to learn more about the allegations against Jean. […]

Soreide Law Group is investigating possible investor claims against securities broker Michael Knittel (also known as Michael Murray Knittel) [CRD: 3274235, Dorado Hills, CA]. Evidently, FINRA sanctioned the securities broker, who worked for Fortune Financial Services Inc. Allegedly, Knittel engaged in private securities transactions. Also, an investor filed a dispute about him. Here is a […]

Soreide Law Group is investigating possible investor claims against securities broker Michael Ferrera (also known as Michael G. Ferrera Jr.) [CRD: 4865324, Ontario, CA]. Mainly, FINRA sanctioned the securities broker, who worked for Sagepoint Financial Inc. Allegedly, Ferrera engaged in an undisclosed outside business activity. Here is a brief summary of FINRA’s allegations against Michael […]

Soreide Law Group is investigating possible investor claims against securities broker Michael Dorband (also known as Michael D. Dorband) [CRD: 5770436, Blue Springs, MO]. Evidently, FINRA sanctioned the securities broker, who worked for Berthel Fisher Company Financial Services Inc. Allegedly, Dorband failed to respond to FINRA’s request for information. Here is a brief summary of […]

Soreide Law Group is investigating possible investor claims against securities broker Matthew Beleski (also known as Matthew David Beleski) [CRD: 5054098, Ann Arbor, MI]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck disclosed that investors complained about the securities broker, who worked for J.P. Morgan Securities LLC. Notably, investors allege sales practice violations in these disputes, […]

Soreide Law Group is investigating possible investor claims against securities broker Mark Tuller (also known as Mark Whitney Tuller) [CRD: 1886487, Marietta, GA]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck disclosed that investors complained about the securities broker, who worked for Wells Fargo Clearing Services LLC. Notably, investors allege sales practice violations in these disputes, […]

Soreide Law Group is investigating possible investor claims against securities broker Mark Beloyan (also known as Mark Bedros Beloyan) [CRD: 1392748, Davie, FL]. Evidently, FINRA filed an enforcement or civil action against the securities broker, who worked for Tradespot Markets Inc. Allegedly, Beloyan engaged in unregistered securities transactions. Moreover, an investor complained about him. Here […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Joseph Audia (also known as Joseph Scott Audia) [CRD: 2909761, Hauppauge, NY]. Not only has FINRA sanctioned Audia for failure to supervise, but investors complained about the securities broker. However, Joseph Audia denies the allegations. Read on to learn more about the allegations […]