Latest Securities Lawyer News

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Nicholas Ash [CRD#: 6244799, Topeka, KS]. However, Ash denies the allegations. Read on to learn more about the allegations against Ash. OFG Financial Services Securities Broker Ash Sanctioned By FINRA For Outside Business Activities Evidently, FINRA issued Case #: 2020068668803 on June 8, […]

Soreide Law Group is investigating possible investor claims against securities broker Jesus Alvidrez AKA Jesus Jose Alvidrez [CRD#: 6414709, Brea, CA]. Evidently, FINRA sanctioned the securities broker, who worked for Transamerica Financial Advisors. Allegedly, Alvidrez failed to provide information and documents to FINRA when it investigated possible violations of FINRA rules. Here is a brief […]

Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against:   CETERA INVESTMENT SERVICES, LLC, and their registered representative,   THOMAS D BRUNT (Respondents). The Claimant is retired and living in Tennessee who brought a claim for losses in JP Morgan Linked Notes to ARK Innovations EFT that dropped over […]

In a recent article from InvestmentNews.com, it was reported that Emerson Equity, a California broker/dealer, is suing a network of insurance underwriters in a $5 million dispute over insurance claims by investors who bought GWG L bonds that were issued by GWG Holding Inc., which filed for Chapter 11 bankruptcy in April. Emerson Equity was […]

Soreide Law Group is investigating possible investor claims against securities broker Ron Keith Phillips [CRD#: 2823393, Walnut Creek, CA]. Phillips has worked for Morgan Stanley since 2009 and UBS Financial Services Inc. from 2002 to 2008. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that Morgan Stanley and UBS Financial Services investors disputed the sales […]

Soreide Law Group is investigating possible investor claims against securities broker John Thomas Holly AKA Tom Holly [CRD#: 1713313, Boca Raton, FL]. Holly has worked for (1) B. Riley Wealth Mgmt. since 2022; (2) B. Riley Wealth Advisors Inc. since 2004; and (3) National Securities Corporation from 2004-2022. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck […]

Soreide Law Group is investigating possible investor claims against securities broker Travis John Wolfe [CRD#: 5851265, Downers Grove, IL]. Wolfe has worked for Ausdal Financial Partners since 2016 and Purshe Kaplan Sterling Investments from 2014-2015. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that clients of Ausdal Financial Partners and Purshe Kaplan Sterling disputed the […]

The Financial Industry Regulatory Authority (FINRA) has fined and suspended CHARLES V MALICO (CHARLIE MALICO, CRD#: 1507282) formerly with Network 1 Financial Securities in Huntington Station, New York, in what may be the first FINRA enforcement action stemming from the Securities and Exchange Commission’s Regulation Best Interest, or Reg BI. According to FINRA’s BrokerCheck, a […]

Soreide Law Group is investigating possible investor claims against securities broker Christian Frank Lucchetto [CRD#: 4648994, Staten Island, NY]. Lucchetto has worked for (1) Arive Capital Markets since 2019; (2) First Standard Financial Company from 2016 to 2019; and (3) Cape Securities Inc. from 2011 to 2016. Evidently, Financial Industry Regulatory Authority (FINRA) sanctioned the […]