Securities Broker Leif Olson Involved In Morgan Stanley Investor Dispute The securities attorneys at Soreide Law Group have learned of some recent investor arbitrations or disputes involving securities broker Leif David Olson (CRD#: 2277495, Sarasota, Florida). Namely, Olson worked for Morgan Stanley from 2010 to 2020 and worked for Wells Fargo since 2020 – both […]

Investors Dispute Actions Of NYLife Securities Broker Narith Long The Financial Industry Regulatory Authority (“FINRA”) reports troubling information regarding securities broker Narith Long (CRD#: 6598152, Glendale, California), who worked for Northwestern Mutual Investment Services (May 2018 to October 2019) and NYLife Securities LLC (December 2019 to December 2020). Specifically, NYLife Securities disaffiliated with Narith Long […]

Wells Fargo's Nelson Polun Is Barred By FINRA Soreide Law Group has come across the FINRA BrokerCheck profile of securities broker Nelson Michael Polun (CRD#: 365420, Bel Air, Maryland), and it shows some concerning information. Specifically, FINRA removed Polun as a securities broker per a February 2021 bar. Not only that, but investors disputed his […]

Clients Of Aegis Broker Scott Hananel File Disputes Alleging Sales Practice Violations Investors have filed disputes regarding securities broker Scott Neil Hananel (CRD#: 3080827, Melville, New York). Specifically, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck shows six investor disputes about the securities broker, who worked for Aegis Capital Corp from February 2010 to February 2021. Here’s […]

On May 10, 2021, CANDIDO JOSE VIYELLA (CANDIDO VIYELLA, CRD#: 1829255) formerly with Morgan Stanley of Miami from 2009 – 2020, was barred by FINRA from acting as a broker or otherwise associating with a broker-dealer firm. Viyella was previously registered both as a broker and as an investment advisor. According to FINRA, without admitting […]

DID YOUR BROKER SELL YOU A CONSERVATION EASEMENT? Being audited by the IRS? Did your broker sell you a conservation easement that the IRS is now investigating? Did you get hit with interest, penalties and fines? If your financial advisor sold you a conservation easement without disclosing these risks they may be liable for your […]

A James Kenneth Couture (James K Couture, CRD #4406284, Bellingham, Massachusetts), according to allegations by the SEC and the FBI, ran a Worcester, Massachusetts, investment firm, and defrauded his clients of nearly $3 million by creating fictitious accounts and paying clients with funds from other clients. According to telegram.com, James K Couture, 42, is facing both […]

Ameriprise Broker Anthony Leopizzi Involved In Disputes Alleging Unauthorized, Unsuitable Transactions Soreide Law Group has come across concerning information in regard to securities broker Anthony John Leopizzi (CRD#: 1697946, Minneapolis, Minnesota). Specifically, the Financial Industry Regulatory Authority (“FINRA”) reports that seven investors brought disputes regarding Leopizzi’s sales practices. Here’s more on what these clients have […]

CHARLES ALAN CORREAL (CHARLES RYAN CORREAL, CHUCK CORREAL) CRD#: 1366202, is currently listed as a broker and a financial advisor since 5/24/2016 with: HARVEST FINANCIAL CORPORATION 1600 BENEDUM-TREES BUILDING 223 FOURTH AVENUE PITTSBURGH, PA 15222 Correal was previously listed with Morgan Stanley in Upper St. Clair, Pennsylvania, as both a broker and financial advisor from […]