Soreide Law Group has obtained the following information on the SW FINANCIAL of New York, NY, broker, from FINRA’s Disciplinary Report October of 2021:  JOHN SEBASTION CANGIALOSI (JOHN S CANGIALOSI, JOHN SEBASTION CANGIALOSI JR.) (CRD #3273830, Manalapan, New Jersey) On August 12, 2021 an Acceptance, Waiver, and Consent (AWC) was issued in which John S […]

The Florida-based Soreide Law Group obtained the following information from FINRA’s October 2021 Disciplinary Report on, Primary Capital, LLC (Miami, Florida). On August 16, 2021, an Acceptance, Waiver, and Consent (AWC) was issued in which Primary Capital was censured and fined $50,000.00 by FINRA. Without admitting or denying FINRA’s findings, Primary Capital consented to the […]

FINRA Issues Suspension To Mike Hartlett For Discretionary Trading At LPL Financial Soreide Law Group is investigating possible investor claims or disputes against LPL Financial securities broker Michael Miles Hartlett (“Mike Hartlett”) (CRD#: 1022139, East Petersburg, Pennsylvania). Namely, the Financial Industry Regulatory Authority (FINRA) suspended and fined Hartlett for allegedly making discretionary trades in violation […]

Chris Eriksson Terminated From Merrill Lynch Following Allegations Soreide Law Group has news to share with you regarding securities broker Christopher Thomas Eriksson (“Chris Eriksson”) (CRD#: 2487298, Wayzata, Minnesota). Specifically, Merrill Lynch terminated Eriksson following misconduct allegations, and six investors challenged his sales practices. Read below for more information on this securities broker's disclosures and […]

KENNETH ANDREWS WELSH (KENNETH A WELSH, KENNETH WELSH) CRD#: 4657872, a former broker/investment advisor with Wells Fargo Clearing Services, LLC, in Fairfield, New Jersey, was arrested October 28, 2021, at his home in River Edge, New Jersey, for allegedly misappropriating more than $2.8 million from five clients to pay for his gambling and to buy […]

The Florida-based, Soreide Law Group, obtained the following information on this Florida broker from FINRA’s website under, “Disciplinary and Other FINRA Actions,” October 2021: Thomas Ward Stratton (CRD #1646899, Melbourne, Florida) Stratton was previously registered with WORLD CHOICE SECURITIES, INC. of Melbourne, Florida from 01/05/2004 - 08/12/2021.  Thomas Ward Stratton had been listed as both […]

On October 10, 2021, the former LPL FINANCIAL LLP of East Petersburg, PA, broker/financial advisor, MICHAEL MILES HARTLETT (MIKE HARTLETT) CRD#: 1022139, was fined $5,000.00 and suspended for 10 business days (11/15/2021 - 11/29/2021) by the Financial Industry Regulatory Authority (FINRA). Hartlett is currently registered with INTERNATIONAL ASSETS ADVISORY, LLC of East Petersburg, PA. According […]

Equitable Advisors' Ryan Ott Suspended, Facing Investor Disputes Soreide Law Group has come across some important information relating to Ryan James Ott (CRD#: 6173815, Woodbridge, New Jersey). Notably, FINRA suspended Ott on August 23, 2021. It will potentially bar him by November 1, 2021, if he fails to either cooperate with its inquiry or get […]

FINRA Launches Investigation Into Securities Broker Antoine Souma Relating To Possible Concealment Of Client Complaint It appears that securities broker Antoine Nabih Souma (CRD#: 4210987, Los Angeles, California) is under FINRA investigation. Essentially, FINRA says in a December 2020 disclosure that it might take disciplinary action against Souma for possibly violating FINRA and MSRB rules […]