Securities Broker Christopher Hildebrandt Involved In Investor Disputes, Sanctioned By FINRA Soreide Law Group has new information to share with you in regard to securities broker Christopher Thomas Hildebrandt (CRD#: 1318476, Cape May Court House, New Jersey). Namely, the securities broker, who worked for securities firm Principal Securities Inc. from March 2003 to November 2018, […]

According to FINRA’s website, KEVIN MARSHALL MCCALLUM (KEVIN MCCALLUM) CRD#: 2222586, formerly with LPL Financial LLC of Birmingham, Alabama, submitted a Letter of Acceptance, Waiver, and Consent (AWC) in June of 2021, for the purpose of proposing a settlement of the alleged rule violations and consented to the following sanctions: A one-year suspension from associating […]

On August 2, 2021, a three-person Financial Industry Regulatory Authority (FINRA) arbitration panel ruled in favor of an investor who accused Morgan Stanley & Co. of unauthorized trading in Apple stock.  FINRA ordered Morgan Stanley to pay back her taxes, brokerage fees and more. FINRA arbitrators ordered Morgan Stanley & Co. to pay $640,747 to […]

The Phillips Edison & Company, Inc. (PECO), is an internally managed real estate investment fund (REIT). PECO is one of the nation’s largest owners and operators of grocery-anchored shopping centers.  PECO owned equity interests in 300 real estate properties, including 278 owned real estate properties and 22 shopping center properties owned through two unconsolidated joint […]

Two National Securities Corporation Clients File Disputes About Vincent Villani's Private Placement Sales Soreide Law Group provides you with the following update regarding securities broker Vincent John Villani (CRD#: 4296670, New York, New York). Evidently, Villani worked for securities firms Joseph Gunnar Company LLC (2012 to 2014) and National Securities Corporation (2014 to present). Notably, […]

Regulator Issues Sanctions To MassMutual Broker Matthew White Soreide Law Group is evaluating possible investor disputes concerning Matthew Leon White (CRD#: 5365185, Little Rock, Arkansas). Evidently, the securities broker worked for securities firms Northwestern Mutual investment Services (January 2009 to June 2015) and MML Investors Services “MassMutual” (June 2015 to June 2018). Notably, he is […]

FINRA Investigating LPL Broker Mike Lancaster The Financial Industry Regulatory Authority (“FINRA”) reports troubling information in regard to securities broker Michael “Mike” Joseph Lancaster (CRD#: 1353552, Tampa, Florida). Namely, the securities broker, who worked for LPL Financial LLC from May 2011 to February 2021, appears to be under FINRA investigation relating to an investor complaint. […]

On July 29, 2021, DANIEL JAMES O'NEILL (DAN O'NEILL CRD#: 1358245), according to FINRA’s BrokerCheck, was named a respondent in a FINRA complaint alleging that he excessively and unsuitably traded one of his client's accounts.  O’Neill was formerly listed with AEGIS CAPITAL CORP. of Melville, New York. The FINRA complaint alleges that DANIEL JAMES O'NEILL […]

FINRA Complaint Center File a FINRA Complaint The Financial Industry Regulatory Authority or “FINRA” offers an investor complaint program where you can file complaints against brokers and brokerage firms that are registered with FINRA. FINRA has the power to take disciplinary action against brokers and their firms that are members. They can also impose sanctions […]