Pruco Securities Investor Files Dispute About Broker James Prosperi The Financial Industry Regulatory Authority (“FINRA”) shows on BrokerCheck that investors filed disputes about securities broker James Vincent Prosperi (CRD#: 2337125, Pittsford, New York). Also, BrokerCheck reports misconduct allegations associated with Prosperi’s departure from Pruco Securities and Merrill Lynch. Here’s more about the securities broker. Pruco […]

Portfolio Advisors Alliance Client Files Dispute About Barred Broker Kerri Wasserman Soreide Law Group provides you with the following update regarding securities broker Kerri Lynn Wasserman-Nir (CRD#: 2376090, New York, NY). Evidently, United States Securities Exchange Commission barred Wasserman in financial advisor and securities broker capacities in January 2020. This comes after the regulator alleged […]

Securities Broker Maryann Bessler Involved In LPL Financial Investor's Dispute The Financial Industry Regulatory Authority (“FINRA”) BrokerCheck report for securities broker Maryanne Virginia Bessler (CRD#: 2192223, Lynbrook, New York) contains investor disputes and a regulatory action. It seems that this securities broker, who works for LPL Financial as financial advisor and securities broker (October 2011 […]

JORGE ANTONIO SONVILLE (JORGE A SONVILLE) CRD#: 2558540, had been previously registered both as a broker and as an investment advisor with Merrill Lynch of Miami, Florida, for 26 years.  According to FINRA’s BrokerCheck, on June 10, 2021, JORGE A SONVILLE, was discharged from Merrill Lynch, Pierce, Fenner & Smith Incorporated, following allegations of, “Conduct […]

Soreide Law Group, on behalf of our clients (Claimants), filed two separate lawsuits against: FIRST ALLIED SECURITIES, INC., and their former registered representative, CHAD RYAN BARANCYK (Respondents) The Claimants, residing in Indiana and Florida, bring these actions to recover losses suffered due to the alleged recommendations of FIRST ALLIED SECURITIES, and their former registered representative, […]

Morgan Stanley Investor Disputes Concern Securities Broker Bill Collins Soreide Law Group comes to you with new information regarding securities broker William Lief Collins (CRD#: 2787822, Birmingham, MI). Evidently, the Financial Industry Regulatory Authority (“FINRA”) indicates that Collins is a Morgan Stanley financial advisor (June 2010 to present) and Morgan Stanley securities broker (May 2010 […]

Securities Broker Thomas Chandler Resigns From Kovack Securities Over Misconduct Allegations FINRA BrokerCheck shows important information in regard to securities broker Thomas Wayne Chandler (CRD#: 1082136, Fort Lauderdale, Florida). Evidently, Chandler worked for securities firms Merrill Lynch, LPL Financial (2014 to 2018) and Kovack Securities (2019 to 2020). Notably, both Kovack Securities and LPL Financial […]

Oppenheimer Securities Broker, Financial Advisor David Brandt Involved In Investors' Disputes The Financial Industry Regulatory Authority (“FINRA”) BrokerCheck report for securities broker David Phillip Brandt (CRD#: 28908, St. Louis, Missouri) contains investor disputes. Evidently, Brandt is an Oppenheimer securities broker (January 2003 to present) and an Oppenheimer financial advisor (November 2007 to present). Let’s take […]

Soreide Law Group, based in Florida, has obtained the following information on this Florida broker on FINRA’s website under, “Disciplinary and Other FINRA Actions June 2021.” Please note the following: The OHO (Office of Hearing Officers) issued the following decision, which has been appealed to or called for review by the NAC (National Adjudicatory Council) […]