FINRA, SEC Take Action Against Mike Conte (Fusion Analytics) FINRA BrokerCheck indicates that investors alleged improper sales practices involving securities broker Michael James Conte “Mike Conte” (CRD#: 2646071, St. James, NY) and that those violations resulted in damages. Notably, Conte was a securities broker at Fusion Analytics Securities LLC during the time of the allegations […]

Broker Dudley Stephens Sanctioned By FINRA, Involved In An Investor Dispute Soreide Law Group is reviewing investor complaints concerning securities broker Dudley Franklin Stephens “Stephen Franklin Dudley” (CRD#: 4119268, New York, New York), as disclosed on FINRA BrokerCheck. It appears that Stephens worked for Coastal Equities (2016 to 2018) and Prospera Financial Services (2014 to […]

FINRA Suspends, Fines Securities Broker John Quinn Investment loss recovery counsel at Soreide Law Group provides you with new information on securities broker John Daniel Quinn (CRD#: 2576416, Beverly Hills, California), who discloses information about a client dispute and regulatory enforcement action on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Quinn was a securities broker […]

In a recent AdvisorHub article, it was reported that Wells Fargo Advisors terminated one of its San Antonio, Texas brokers, Roger A Graham, earlier this year.  Wells Fargo Advisors gave the justification that could be a warning to other brokers for excessive trading in their own accounts. Wells Fargo said it had terminated Roger A Graham, […]

Allstate Broker Jimmy Nunez Suspended By FINRA And Involved In Investor Dispute Soreide Law Group discusses disclosures on Jimmy William Nunez (CRD#: 6432136, Edgewater, New Jersey). Evidently, Nunez worked as a securities broker for Allstate Financial Services from 2015 to 2020. Let’s take a closer look at the allegations of unauthorized transactions as reported on […]

According to FINRA, NIKOLAY ZOTENKO consented to a one-year suspension and to pay a $10,000 fine without admitting or denying FINRA’s findings. Zotenko was previously registered both as a broker and as an investment advisor. Zotenko was previously listed with Morgan Stanley of Beverly Hills, California. On May 13, 2022, without admitting or denying FINRA's […]

Morgan Stanley Clients Allege Damages In Disputes About Broker Jesus Rodriguez The Financial Industry Regulatory Authority (FINRA) provides important information in regard to securities broker Jesus Rodriguez “Jesus Rodriquez” (CRD#: 4888685, El Paso, Texas). Evidently, Rodriguez worked for securities firm Morgan Stanley from 2009 to 2021. Notably, he faces allegations of unsuitable and unauthorized trading […]

The Florida-based Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: NATIONAL SECURITIES CORPORATION (NCS), and their registered representative, MARK GERARD SONNTAG (Respondents). The Claimant is a retiree living in Florida.  The lawsuit alleges that the Respondents knew he was living on a fixed income, and looking to supplement […]

FINRA Issues Suspension To Westpark's Richard Rappaport FINRA BrokerCheck indicates that investors alleged sales practice violations involving securities broker Richard Alyn Rappaport “Rick Rappaport” (CRD#: 1885122, Los Angeles, California) and that those violations resulted in damages. Evidently, Rappaport has worked as a Westpark Capital securities broker since 2004, most recently as CEO. Take a look […]