Securities Broker Abdul Rahmani Faces FINRA Disciplinary Action Financial industry Regulatory Authority (“FINRA”) shows new investor-related information on BrokerCheck in regard to securities broker Abdul Matin Rahmani (CRD#: 4269583, Mineola, New York). Specifically, FINRA brought a disciplinary action against Rahmani for alleged violations of FINRA rules. Also, Rahmani’s employment ended with SW Financial following allegations […]

Investors File Disputes About Morgan Stanley, RBC Securities Broker Anthony Dacruz Soreide Law Group provides you with new information regarding securities broker Anthony Edward Dacruz (CRD#: 1259435, New York, New York). According to FINRA BrokerCheck, Dacruz, who is a Morgan Stanley financial advisor and securities broker (2011 to present), is involved in three investor disputes […]

Joseph Gunnar Clients File Disputes About Securities Broker Matt Gates The investment loss recovery counsel at Soreide Law Group provide you with the following FINRA BrokerCheck details regarding securities broker Matthew “Matt” Gates (CRD#: 4727945, New York, New York). It appears that Gates worked for securities firm Joseph Gunnar Co. LLC (2009 to 2020) as […]

NYLife Securities Client Files Dispute Involving Securities Broker Andre Senegal Evidently, FINRA BrokerCheck contains new information in regard to securities broker Andre Pierre Senegal (CRD#: 6065655, Oakbrook Terrace, Illinois). Namely, two investor disputes involve Senegal – the most recent of which is from November 2020. Also, OneAmerica Securities (his employer in 2020) permitted him to […]

AXA Advisors, Equitable Advisors Clients Bring Complaints About Douglas Keller Soreide Law Group provides you with an update on the disclosures pertaining to securities broker Douglas Eugene Keller (CRD#: 1272529, Red Bank, New Jersey). Specifically, there are investor disputes and regulatory sanctions involving the securities broker, who worked for firms including AXA Advisors (2008 to […]

Voya, ING Clients File Disputes About Securities Broker Richard Sall Evidently, there are three Voya Financial Advisors (formerly ING) investor disputes on the Financial Industry Regulatory Authority (“FINRA”) BrokerCheck report of securities broker Richard Harris Sall (CRD#: 1515945, Duluth, Minnesota). It appears that Sall maintained employment with Amev Investors, Voya Financial Advisors (1990 to 2020) […]

Merrill Lynch Client Files Dispute About Richard Sica Investment loss recovery counsel at Soreide Law Group provide you with the following information regarding securities broker Richard Sica (CRD#: 1756940, Ridgefield, Connecticut). Evidently, this person works for Merrill Lynch as both a financial advisor and securities broker. Apparently, there are four investor disputes on Sica’s record, […]

Aegis Clients Call Attention To Securities Broker Thomas Duggan In Investor Disputes Financial Industry Regulatory Authority (“FINRA”) BrokerCheck contains important disclosures regarding securities broker Thomas Duggan (CRD#: 2757615, Melville, New York) that is relevant to investors. Specifically, investor disputes alleging excessive trading, unsuitable trading and unauthorized trading are on the record of the securities broker, […]

Raymond James Clients File Disputes About Securities Broker John Cassandra Soreide Law Group provides you with the following information in regard to securities broker John Edward Cassandra (CRD#: 4270866, Boynton Beach, FL). Evidently, Cassandra, who works for Raymond James Financial Advisors as financial advisor (2009 to present) and securities broker (2004 to present), is involved […]