Suitability The Focus Of Allied Millennial Partners Investor's Dispute Involving Broker Matthew Platnico Soreide Law Group comes to you with an update regarding investment disputes involving securities broker Matthew Eric Platnico (CRD#: 2102086, New York, New York). It appears that Platnico worked for Oppenheimer as financial advisor and securities broker. Now, he works for Millennial […]

FINRA, NJ Securities Bureau Sanction Raymond James Broker Lance Armstrong The New Jersey Bureau of Securities revoked the securities agent and investment adviser registrations of Lance Roman Armstrong (CRD#: 4592423, Columbia, New Jersey), a former Raymond James Financial Services securities broker. The NJ order comes on the heels of Financial Industry Regulatory Authority’s decision to […]

HTK Client Files Dispute About Securities Broker Sam Paolini New information comes from Financial Industry Regulatory Authority (“FINRA”) BrokerCheck regarding securities broker Sam Peter Paolini (CRD#: 6087086, New York, New York). Evidently, the securities broker worked for securities firm Morgan Stanley from August 2012 to February 2014, and securities firm Hornor Townsend Kent Inc. (“HTK”) […]

Soreide Law Group obtained the following information from FINRA’s June 2021 Disciplinary report on broker: Joseph Albert Ambrosole (CRD #5732488, Staten Island, New York) On April 7, 2021, an Acceptance, Waiver, and Consent (AWC) was issued in which Joseph Albert Ambrosole was fined $5,000, suspended from association with any FINRA member in all capacities for […]

Broker Todd Micciche (CUNA Brokerage Services) Involved In Investor Dispute Investment loss recovery counsel at Soreide Law Group provide you with this update in regard to securities broker Todd Douglas Micciche (CRD#: 4740375, Portland, Oregon). It appears that Micciche worked for Key Investment Services LLC from 2011 to 2015 as financial advisor and securities broker. […]

Lek Securities Corporation's Sam Lek Involved In Investor Dispute The Financial Industry Regulatory Authority (“FINRA”) reports a new investor dispute regarding securities broker Samuel Frederik Lek (CRD#: 1642936, New York, New York). It appears that two investor disputes have been filed against the securities broker since March 2019. Not only that, but securities regulators have […]

Soreide Law Group, based in South Florida, obtained the following information on the Florida broker from FINRA’s June, 2021, Disciplinary Report: Michael Joseph Dellaporta Jr. (CRD #500214, Ft. Lauderdale, Florida) On April 14, 2021, an Acceptance, Waiver and Consent (AWC) was issued by FINRA in which Michael Joseph Dellaporta Jr. was barred from association with […]

Cantella, Voya and LPL Clients File Investor Disputes About Broker Jim Joly Investment loss recovery counsel at Soreide Law Group is looking into possible investor claims concerning James Ernest Joly (CRD#: 2193463, East Greenwich, Rhode Island). Evidently, the Financial Industry Regulatory Authority (“FINRA”) shows through BrokerCheck that the securities broker, who has worked at Cantella […]

Investors File Suitability Disputes About AISG Securities Broker Thomas Logue According to BrokerCheck, the Financial Industry Regulatory Authority (“FINRA”) database on securities brokers, there are important things you should know concerning Thomas Joseph Logue (CRD#: 1700554, Hinsdale, Illinois). The securities broker, who worked for American Independent Securities Group LLC (“AISG”) from 2014 to 2017, is […]