Alexander Capital's Barry Eisenberg Sanctioned By SEC, Involved In Disputes Alleging Failure To Supervise Investors have come forward to dispute the sales practices of securities broker Barry Todd Eisenberg (CRD#: 2313107, New York, New York). Specifically, FINRA shows that two investors – clients of JP Turner and Alexander Capital – filed disputes. Secondly, United States […]

FINRA Bars Securities Broker David Martirosian Following Investigation The Financial Industry Regulatory Authority (“FINRA”) disclosed that it barred (expelled) David Martin Martirosian (CRD#: 5261144, New York, New York). Namely, the securities broker, who worked for Joseph Stone Capital from July 2016 to April 2021, and who worked for firms who FINRA expelled, agreed to a […]

Former Minnesota broker/financial advisor, ISAIAH L GOODMAN (CRD#: 6011060), was sentenced in federal court recently to over seven years in prison after he was convicted in a mail fraud scheme.  After he completes his prison sentence, Goodman will then have three years of supervised release, in addition he also has to forfeit his equity in […]

Morgan Stanley Investor Complains About Broker Nordo Nissi's Investment Recommendations Soreide Law Group comes to you with an update in regard to securities broker Nordo Mauro Nissi (CRD#: 1666385, Boston, Massachusetts) who is involved in three investment disputes. Notably, the securities broker, who worked for Morgan Stanley (2004 to 2018) and MS Howells (2018) faces […]

Securities Broker Jack McBride (B Riley, Ameriprise) Involved In Investor Disputes Soreide Law Group provides you with important information in regard to securities broker Jack B. McBride (CRD#: 2517946, Plymouth, Michigan), who works for B Riley Wealth Management as both a financial advisor and securities broker. Specifically, FINRA BrokerCheck shows that investors of B Riley […]

According to FINRA’s BrokerCheck, on June 22, 2021, ERIC PETER BURTON was fined $5,000.00 and suspended for 3 months (7/19/2021 - 10/18/2021) by FINRA. Without admitting or denying FINRA’s findings, ERIC PETER BURTON consented to the sanctions and to the entry of findings that he allegedly falsified variable annuity replacement disclosure forms that he submitted […]

FINRA Investigating Securities Broker David Melilli (SagePoint, Cambridge Investment Research) Soreide Law Group provides you with important investor-related information in regard to securities broker David John Melilli (CRD#: 5254172, Moorestown, New Jersey). Evidently, Melilli worked for SagePoint Financial from 2010 to 2019, LPL Financial in 2018, and Cambridge Investment Research from 2019 to 2020. Namely, […]

Hilltop Securities Clients File Disputes About Financial Advisor Dennis Robberecht Financial Industry Regulatory Authority (“FINRA”) shows on BrokerCheck that investors filed disputes about securities broker Dennis Robberecht (CRD#: 1213446, Roseville, California). Namely, the securities broker, who started working for Hilltop Securities in November 2008 as both a financial advisor and securities broker, is involved in […]

Aegis Investment Corp Clients File Disputes About Securities Broker Cory Bataan The Financial Industry Regulatory Authority (“FINRA”) reports important information regarding securities broker Cory David Bataan (CRD#: 2755223, Melville, New York). Notably, the securities broker, who worked for Aegis Capital Corp from 2012 to 2019, is involved in investor disputes involving clients of that firm. […]