Securities Broker Mike Patatian Involved In Investor Disputes, Facing Disciplinary Action Soreide Law Group provides you with the following update regarding securities broker Megurditch “Mike” Patatian (CRD#: 4047060, Charlotte, North Carolina). Specifically, the securities broker, who worked for Western International Securities Inc. from April 2013 to April 2020, faces a FINRA complaint containing accusations of […]

Soreide Law Group has filed a FINRA arbitration on behalf of their client against LPL FINANCIAL LLC due in part to the alleged actions of their former registered representative, JAMES KENNETH COUTURE (James Couture), who was barred by FINRA in October of 2020. James Couture was arrested July 23, 2021, after backing out of a […]

On July 9, 2021, DOUGLAS EDWARD SZEMPRUCH, formerly with AEGIS CAPITAL CORP of Melville, New York, was suspended by FINRA for 12 months (7/19/2021-7/18/2022) and was ordered to pay restitution of $99,720.87. According to the FINRA report, without admitting or denying FINRA’s findings, DOUGLAS EDWARD SZEMPRUCH consented to the sanctions and to the entry of […]

On July 6, 2021, JOHN HENRY SWON IV (JOHN SWON) CRD#: 5591686, formerly with ROYAL ALLIANCE ASSOCIATES INC of Bloomington, Minnesota, was barred by FINRA from acting as a broker or otherwise associating with a broker/dealer firm.  John Swon was previously registered both as a broker and as an investment advisor. Without admitting or denying […]

Securities Broker Al Westbrook Receives Suspension, Fine From FINRA For Allegedly Selling Away Soreide Law Group provides you with the following update regarding securities broker John Albert “Al” Westbrook (CRD#: 1846059, McDonough, Georgia). Specifically, Westbrook, who worked for Center Street Securities (2014 to 2020), faced sanctions from FINRA for his alleged private securities transactions. In […]

Investors File Disputes About Securities Broker Jeff Meyers The Financial Industry Regulatory Authority (“FINRA”) reports six disclosures on the BrokerCheck record of securities broker Jeffrey “Jeff” Gerard Meyers (CRD#: 2192759, Overland Park, Kansas). One of these disputes concerns Meyers’ sales practices at Cetera Advisor Networks, where he works as a securities broker since 2019. It […]

BBVA, Chase Clients File Disputes About Securities Broker Brian Bates The Financial Industry Regulatory Authority (“FINRA”) reports that investors filed disputes about Brian Robert Bates (CRD#: 2318413, Chandler, Arizona). Evidently, Bates presently works for BBVA Securities as securities broker, and he works for PNC Managed Account Solutions as financial advisor. Let’s take a closer look […]

SagePoint Investor's Suitability Dispute About Securities Broker Joseph Tonyan The investment loss recovery counsel at Soreide Law Group provide you with this update in regard to SagePoint Financial Inc. securities broker Joseph William Tonyan (CRD#: 1252187, Springfield, Missouri). Specifically, FINRA shows that two investors filed disputes about the securities broker. Not only that, but one […]

Kovack Securities Investors Reportedly Dispute The Sales Practices Of Broker Gerald O'Halloran Soreide Law Group has new information to share with you in regard to securities broker Gerald James OHalloran (CRD#: 1056697, Punta Gorda, Florida). It appears that O’Halloran worked for a number of securities firms including Kovack Securities (2004 to 2018) and Union Capital […]