Investor Alleges Sales Practice Violations By Money Management Advisory's Edgar Mock Soreide Law Group comes to you with new information in regard to securities broker Edgar Davis Mock (CRD#: 1309680, Feasterville, PA). Namely, an investor alleged sales practice violations, including breach of fiduciary duty, in a dispute involving Mock. This concerns Mock's actions at Money […]

Broker Andrew Bransky (Stifel Nicolaus, BC Ziegler) Involved In Investor Disputes The Financial Industry Regulatory Authority (FINRA) reports that clients disputed the sales practices of securities broker Andrew J. Bransky (CRD#: 2680736, Chicago, Illinois). Evidently, Bransky worked for securities firms Principal Financial Securities, Wachovia Securities, BC Ziegler and Company, and Stifel Nicolaus and Company. Evidently, […]

The following complaint was issued in the FINRA Disciplinary Report from March of 2022. FINRA states that the issuance of a disciplinary complaint represents FINRA’s initiation of a formal proceeding in which findings as to the allegations in the complaint have not been made, and does not represent a decision as to any of the […]

Clients Of Merrill Lynch File Disputes About Frank Coussens' Investment Transactions The Financial Industry Regulatory Authority (FINRA) contains new information in regard to securities broker Frank Joseph Coussens (CRD#: 730556, Coral Gables, Florida). Evidently, Coussens worked for firms Merrill Lynch (1981 to 2016) and Ameriprise Financial Services (2016 to present) as both financial advisor and […]

Soreide Law Group obtained the following information from the March 2022 Disciplinary Report from FINRA's website, on the following broker: Warren Ellwood Rowe Jr (CRD #1065880, Irvington, Virginia) formerly with Oppenheimer & Co, Inc of Richmond, Virginia. On January 3, 2022 an Acceptance, Waiver and Consent (AWC) was issued in which Warren Ellwood Rowe Jr […]

Soreide Law Group obtained the following information from FINRA’s website under, “Disciplinary and Other FINRA Actions,” March, 2022 regarding broker/financial advisor: Joseph Brian LaScala Jr (Joe LaScala Jr, CRD #3070261, Merrick, New York), who is currently registered with Aegis Capital of Melville, New York. On January 24, 2022, an Acceptance, Waiver and Consent (AWC) was […]

Clients Of JP Morgan File Disputes About Boris Mihailevsky The Financial Industry Regulatory Authority (FINRA) is reporting new disclosures on the record of securities broker Boris Mihailevsky (CRD#: 5584758, New York, New York). The regulator shows that Mihailevsky worked for securities firms Chase Investment Services Corp (2010 to 2012) and JP Morgan Securities (2012 to […]

The Florida-based Soreide Law Group has obtained the following information on FINRA’s website in the March 2022 Disciplinary report on the following Florida broker: JOSHUA DAVID NICHOLAS (Josh Nicholas CRD#: 6529944, Stuart, Florida), previously with Merrill Lynch, Pierce, Fenner & Smith Incorporated of Stuart, Florida, from 02/03/2020 - 07/31/2020. On January 24, 2022, an Acceptance, […]

Securities Broker Thomas Hunt (Wells Fargo) Involved In Investor Dispute Alleging Sales Practice Violations Soreide Law Group comes to you with new information regarding securities broker Thomas Boley Hunt (CRD#: 1323743, Twin Falls, Idaho). Before joining LPL Financial LLC as a financial advisor and securities broker in August 2018, Hunt worked for securities firms Wells […]