Latest Securities Lawyer News

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Claudio Gambin Neto (also known as Claudio Gambin) [CRD: 5752180, Orlando, Florida]. Evidently, investors disputed the sales practices of the securities broker, who worked for Northwestern Mutual Investment Services LLC. Additionally, the securities broker disclosed a regulatory enforcement action. Read on to learn […]

Soreide Law Group is investigating possible investor claims against securities broker Jason Murphy [CRD: 4521914, Oxford, Michigan]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for CCO Investment Services Corp. For example, clients alleged unsuitable recommendations. Here is a brief summary of the […]

Investors have come forward with complaints about securities broker Adam R. Melville [CRD: 5311511, Sherman Oaks, California]. Evidently, the securities broker, who worked for Southwest Securities Inc. and Hilltop Securities Inc., disclosed client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. For more on these disclosures about Melville, see below. Hilltop Securities Inc. Investor Accused […]

Soreide Law Group is investigating possible investor claims against securities broker Edric Michael McSween [CRD: 2080810, Naples, Florida]. Notably, FINRA sanctioned the securities broker, who worked for Ameriprise Financial Services LLC. Allegedly, McSween failed to provide information and documents to FINRA when it investigated possible violations of FINRA rules. Here is a brief summary of […]

Soreide Law Group is investigating possible investor claims against securities broker David Allen Maute [CRD: 4307126, Springfield, Ohio]. Notably, FINRA sanctioned the securities broker, who worked for Allstate Financial Services LLC. Allegedly, Maute failed to provide information and documents to FINRA when it investigated possible violations of FINRA rules. Here is a brief summary of […]

Soreide Law Group is investigating possible investor claims against securities broker Philip Marchese [CRD: 5905008, New York, New York]. Notably, FINRA sanctioned the securities broker, who worked for Spartan Capital Securities LLC. Allegedly, Marchese engaged in excessive trading. Here is a brief summary of FINRA’s allegations against Marchese. FINRA Sanctions Spartan Capital Securities LLC Securities […]

Investors have come forward with complaints about securities broker James Bernis Lunsford (also known as Jim Lunsford) [CRD: 2222307, Sonoma, California]. Evidently, the securities broker, who worked for Mid Atlantic Capital Corporation, disclosed client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Mid Atlantic Capital Corporation clients allege breach of fiduciary duty, misrepresentation, among […]

Soreide Law Group is investigating possible investor claims against securities broker Michael Leahy (also known as Mike Leahy) [CRD: 1899498, Red Bank, New Jersey]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses regulatory actions and disputes involving the securities broker, who worked for First Standard Financial Company LLC. Here is a brief summary of the […]

Soreide Law Group is investigating possible investor claims against securities broker Neil Koch [CRD: 4800437, Minneapolis, Minnesota]. Notably, FINRA sanctioned the securities broker, who worked for American Enterprise Investment Services Inc. Allegedly, Koch failed to provide information and documents to FINRA when it investigated possible violations of FINRA rules. Here is a brief summary of […]