New Jersey Securities Bureau Bars John Cahill As Securities Broker, Financial Advisor Representative Soreide Law Group is looking into potential claims to bring on behalf of investors against securities broker John Joseph Cahill (CRD#: 1240551, Upper Salle River, New Jersey). Supposedly, the New Jersey Bureau of Securities revoked Cahill’s securities broker and financial advisor representative […]

Centaurus Financial Broker Marty Dickerson (Centaurus Financial) Facing Accusations Of Unsuitable Trading, Negligence Soreide Law Group comes to you with important information regarding securities broker Marcious Dickerson (“Marty Dickerson”) (CRD#: 1053338, Livonia, Michigan). According to Financial Industry Regulatory Authority (FINRA) BrokerCheck, four investors filed disputes about Dickerson. Three of those disputes concern Dickerson’s actions at […]

Securities Broker Adam Summers Terminated By Stifel Nicolaus, Referenced In Investor Dispute Soreide Law Group provides you with an update on securities broker Adam Petersen Summers (CRD#: 5587343, Frankfort, Illinois). It appears on Financial Industry Regulatory Authority (FINRA) BrokerCheck that Summers worked for securities firms Wells Fargo Clearing Services LLC (October 2010 to January 2021), […]

Broker George Warner Barred By FINRA, Involved In Investor Dispute Alleging Selling Away Soreide Law Group is investigating potential investor disputes to bring against securities broker George Marshall Warner Jr. (CRD#: 2300570, Staten Island, New York). Evidently, FINRA barred Warner as a securities broker in March 2021 because of him failing to comply with an […]

Cetera Investment Services Clients Allege Unsuitable REITs By Mark Senofonte Financial Industry Regulatory Authority (FINRA) BrokerCheck shows that seven investors filed disputes about securities broker Mark Angelo Senofonte (CRD#: 2038108, Doylestown, Pennsylvania). These disputes mainly concern Senofonte’s actions at Cetera Investment Services, where Senofonte worked as a securities broker from February 2007 to August 2021. […]

Lance Walston Involved In Dominion Portfolio Management Client Disputes Soreide Law Group comes to you regarding investor disputes involving securities broker Lance Colby Walston (CRD#: 4440958, San Antonio, Texas). Namely, the Financial Industry Regulatory Authority (FINRA) BrokerCheck profile for Walston contains six disclosures, all concerning investor disputes. Four of those disputes concern options transactions at […]

Securities Broker Mike Farrell (Aegis Capital Corp) Accused Of Sales Practice Violations The Financial Industry Regulatory Authority (FINRA) has new disclosures on BrokerCheck regarding securities broker Michael James Farrell (“Mike Farrell”) (CRD#: 2282842, Red Bank, New Jersey). Namely, Farrell, who worked as a securities broker for Aegis Capital Corp from August 2016 to May 2019, […]

Ameriprise Financial Clients Allege Sales Practice Violations By Richard Martin Soreide Law Group is investigating potential disputes to bring on behalf of investors against securities broker Richard Paul Martin (CRD#: 1536729, Goshen, New York). Evidently, Martin joined Ameriprise Financial Services in September 1986 as a securities broker. He became a financial advisor in January 2007. […]

FINRA, Investors Allege Misconduct By American Wealth Management Securities Broker Jason Seale The Financial Industry Regulatory Authority (FINRA) reportedly issued securities broker Jason Lee Seale III (CRD#: 1874548, Novato, California) a suspension and fine for allegedly making discretionary trades in four client accounts at American Wealth Management Inc. In addition, five investors filed disputes about […]