Securities Broker Wil Rodriguez Involved In Wells Fargo Client's Dispute About Alleged Unauthorized Transactions Soreide Law Group comes to you with new information concerning Wells Fargo securities broker Rodriguez AKA “Wil Rodriquez” and “Wilfredo Rodriguez Jr.” (CRD# 2504369, Boca Raton, Florida). The Financial Industry Regulatory Authority (FINRA) BrokerCheck profile on Rodriguez shows that two investors […]

Broker Steven Maher Sanctioned, Involved In Investor Dispute Financial Industry Regulatory Authority (FINRA) discloses through BrokerCheck that it sanctioned securities broker Steven Maher (CRD#: 1011535, Oradell, New Jersey) and that an investor disputed Maher’s sales practices. Evidently, Maher worked for securities firms American General Securities Incorporated, Sagepoint Financial, and Next Financial Group. He joined American […]

According to a recent article in FinancialAdvisorIQ, the Financial Industry Regulatory Authority (FINRA)  has censured and fined National Securities Corp, a broker/dealer firm, over its alleged handling of private offerings. The FINRA letter of acceptance, waiver and consent (AWC) alleges that in December of 2017 and January of 2018, National Securities Corp (NSC) allegedly sold […]

Investor Dispute Concerns Securities Broker Sandra White (Cetera Advisor Networks) Evidently, the Financial Industry Regulatory Authority (FINRA) contains important investor dispute disclosures and a regulatory action disclosure on the record of securities broker Sandra Lee White (CRD#: 805113, Houston, Texas). It appears that White worked for securities firms Hall Flake Associates and Cetera Advisor Networks […]

Securities Broker Wills Henriquez Sanctioned And Involved In Investor Disputes Soreide Law Group comes to you with new information regarding securities broker Henriquez (CRD#: 1872198, Brooklyn, New York). Wills Schneider Henriquez worked for Network 1 Financial Securities from 2013 to 2018. During that time, Henriquez worked with a client who later complained. Other disputes on […]

Investor Brings Dispute About Securities Broker Hal Schwartz's Investment Strategy The Financial Industry Regulatory Authority (FINRA) contains important investor-related information concerning securities broker Harold Alan “Hal” Schwartz (CRD#: 841225, Winter Springs, Florida). Namely, the securities broker is involved in three investor disputes. Clients allege sales practice violations at Leaders Group or Royal Alliance. It also […]

Morgan Stanley Clients Bring Investment Disputes Concerning Broker Michael Rulison Soreide Law Group comes to you with new information regarding securities broker Michael Edward Rulison (CRD#: 407131, Syracuse, New York). Evidently, Rulison worked for securities firms RBC Dain Rauscher, Citigroup Global Markets, and Morgan Stanley. In fact, he joined Morgan Stanley in 2009 as a […]

Securities Broker Lee Rosenberg Is Involved In Investor Disputes Concerning Suitability The Financial Industry Regulatory Authority (FINRA) confirms through BrokerCheck that five investors filed disputes about securities broker Lee Evan Rosenberg (CRD#: 1010402, Jericho, New York). Evidently, Rosenberg worked for securities firm Cadaret Grant beginning in 1988 and currently works as a securities broker and […]

Broker RJ Bernstein (Morgan Stanley, Wells Fargo) Faces Investor Allegations Of Sales Practice Violations Soreide Law Group is reviewing investor disputes against securities broker Richard Jay “RJ” Bernstein (CRD#: 1113777, Los Angeles, California). Evidently, Bernstein worked for securities firms Merrill Lynch, Bear Stearns, Prudential Securities, Salomon Smith Barney, UBS Financial Services, Morgan Stanley, and Wells […]