Securities Broker Mike Leahy Sanctioned By FINRA, Ordered To Pay Client Compensation For Failure To Supervise Soreide Law Group has come across the Financial Industry Regulatory Authority (“FINRA”) BrokerCheck profile of securities broker Michael Leahy “Mike Leahy” (CRD#: 1899498, Red Bank, New Jersey). It seems that the regulator suspended Leahy as a securities broker in […]

Clients Of SunTrust File Disputes Alleging Unsuitable Recommendations By Sandra McKoy Financial Industry Regulatory Authority (FINRA) indicates that SunTrust investors have taken issue with the sales practices of Sandra Benain McKoy (CRD#: 2954755, Tamarac, Florida). It appears that McKoy worked as a financial advisor or securities broker for SunTrust Investment Services (1997 to 2017), SunTrust […]

Securities Broker John Santariello Gets Barred By FINRA, Accused Of Sales Practice Violations Including Excessive Trading, Churning Soreide Law Group has learned through Financial Industry Regulatory Authority (FINRA) BrokerCheck that the regulator barred John Joseph Santariello (CRD#: 5746158, Coram, New York). Evidently, Santariello worked for securities firms KC Ward Financial, National Securities Corporation, Wilmington Capital […]

LPL Clients Complain About Securities Broker Michael Henschel's Annuity, REIT Transactions Soreide Law Group comes to you with some helpful information in regard to securities broker Michael James Henschel (CRD#: 3112890, Stevens Point, Wisconsin). Specifically, the securities broker, who has worked as both an LPL Financial advisor and securities broker since October 2011, is involved […]

According to a recent article in Financial Advisor IQ, the Financial Industry Regulatory Authority (FINRA) has ruled against MORGAN STANLEY and their financial advisor KEVIN ANTHONY BUTLER (CRD#: 1138534).  The ruling was due to allegations of improper trading in options of Tesla stock. KEVIN ANTHONY BUTLER has been listed with MORGAN STANLEY in Norwell, Massachusetts, […]

National Securities Corp Clients Allege Unsuitable Transactions By Securities Broker Shaun Stein According to FINRA BrokerCheck, investors challenged the sales practices of securities broker Shaun Evan Stein (CRD#: 4873578, Jersey City, New Jersey). Evidently, Stein worked for JP Turner Company LLC and National Securities Corporation. The investment disputes reported on BrokerCheck concern his actions at […]

Soreide Law Group is investigating alleged claims by investors regarding the following broker formerly listed with Crown Capital Securities, L.P. of Watsonville, California, from 07/11/2011 - 12/31/2020: KENNETH JAMES BARROGA (CRD#: 2288752) According to FINRA’s BrokerCheck, available to the public on FINRA’s website, Barroga has not been registered with any other firms since December of […]

FINRA Issues Suspension To Broker Hector Ramos To Resolve Allegations Of Unsuitable Recommendations Financial Industry Regulatory Authority ("FINRA") BrokerCheck provides you with important information about securities broker Hector Ramos (CRD#: 4172477, Brandon, South Dakota). Notably, FINRA sanctioned Ramos twice, and an investor complained about him. Here's more. FINRA Suspends Hector Ramos In 2020 For Allegedly […]

Soreide Law Group has been contacted by former clients regarding the following broker, and upon investigation into his FINRA BrokerCheck report, it was discovered that he has 20 disclosures on his FINRA CRD report, with 18 “Customer Disputes.” MICHAEL FASCIGLIONE (CRD#: 1806486), is currently with AEGIS CAPITAL CORP. of Mineola, New York since 9/13/2017. According […]