FINRA Suspends TCM Securities Broker Michael Pellegrino, And TCM Investors File Disputes About Him Financial Industry Regulatory Authority (FINRA) BrokerCheck contains important information regarding Taylor Capital Management (TCM) securities broker Michael August Pellegrino (CRD#: 5900843, Oakbrook Terrace, Illinois). Namely, on January 6, 2021, FINRA suspended him for a period of two months. During that period, […]

Oppenheimer Investors File Disputes Alleging Sales Practice Violations By Securities Broker Jeffrey Warren Soreide Law Group provides you with the following update regarding securities broker Jeffrey Warren (CRD#: 2707969, Boca Raton, Florida). It appears that as of May 28, 2021, FINRA barred Warren from acting as a securities broker or associating with a FINRA-member firm. […]

Securities Broker William Friedman (Newbridge, Woodstock Financial) Discloses FINRA Suspension, Investor Disputes Soreide Law Group has new information to share with you concerning securities broker and financial advisor William Sidney Friedman (CRD#: 2475502, Boca Raton, Florida). Evidently, Friedman worked for securities firms Newbridge Securities Corporation (2007 to 2017), Woodstock Financial Group (2017 to 2019) and […]

Securities Broker Robert Barnard Is Barred By FINRA And Is Facing Disputes From Principal Securities Clients Soreide Law Group comes to you with important information regarding securities broker and financial advisor Robert Barnard (CRD#: 5504882, Las Cruces, New Mexico). Notably, the Financial Industry Regulatory Authority (FINRA) barred Barnard to settle allegations that he violated FINRA […]

Transamerica Investors File Disputes About Barred Securities Broker Narinder Singh Soreide Law Group has important information to share with you regarding securities broker Narinder Kaur Singh (CRD#: 3100308, Sacramento, California). Evidently, Singh worked for Transamerica (2016), ProEquities (2016 to 2017) and Farmers Financial Solutions (2018 to 2019). According to a regulatory action dated August 28, […]

JAMES ROBERT REYNOLDS (also known as JIM REYNOLDS) CRD#: 4408485, who is currently registered as a broker and financial advisor with NORTHLAND SECURITIES, INC. and NORTHLAND ASSET MANAGEMENT in Minneapolis, Minnesota since 2002, and 2008 respectively, has had two customer complaints, according to his FINRA BrokerCheck  CRD report. In June of 2016, a customer dispute […]

FINRA Suspends Merrill Lynch Securities Broker Rawad Alame For Options Trading FINRA suspended Merrill Lynch securities broker Rawad Roy Alame (CRD#: 5376696, Raleigh, North Carolina) for a period of six months starting on January 4, 2021 and ending on July 3, 2021 to resolve allegations of his private securities transactions. Alame consented to the suspension […]

Investors File Disputes About Securities Broker Brandon Rudolph (Chelsea Financial, WealthForge Securities) Soreide Law Group gives you this update concerning securities broker and financial advisor Brandon Carl Rudolph (CRD#: 6379420, Las Vegas, Nevada). Evidently, Rudolph worked for WealthForge Securities LLC (2017) and Chelsea Financial Services (2014 to 2016). It appears that three investors disputed his […]

FINRA Suspends Questar Capital Corp Securities Broker Louis Olave, Who Also Faces Investor Disputes The following update concerning Questar Capital Corporation securities broker Louis Olave (CRD#: 5904834, Burlington, Vermont) comes to you by Soreide Law Group. Notably, FINRA sanctioned Olave in April 2021 based on allegations that he participated in private, unauthorized securities transactions that […]