Soreide Law Group, based in South Florida, has obtained this information on the following Florida broker from FINRA’s website under “Disciplinary and Other FINRA Actions,” November 2021. On September 21, 2021, Marceliano Macias (CRD #6997916, Sunrise, Florida) was issued an Acceptance, Waiver and Consent (AWC) in which Macias was assessed a deferred fine of $7,500 […]

FINRA Bars Securities Broker Mike Iannarino, And A Private Client Services Investor Files A Dispute About Him Soreide Law Group provides you with an update on the FINRA BrokerCheck disclosures connected to Michael Joseph Iannarino (“Mike Iannarino”) (CRD#: 1258453, Columbus, Ohio). First, FINRA barred Iannarino for allegedly refusing to provide information and documents when it […]

Cambridge Investment Research Clients Allege Unsuitable Transactions By Securities Broker Dale Wright Soreide Law Group investigates whether to bring possible disputes on behalf of investors against securities broker Dale Edward Wright (CRD#: 1142615, Henrico, Virginia). Notably, ten investors made disputes involving Wright's sales practices. Not only that, but the Commonwealth of Virginia fined Wright $50,000 […]

FINRA Bars Edward Jones Securities Broker Anthony Hall Because Of Alleged Investigation Misconduct Notably, the Financial Industry Regulatory Authority (FINRA) barred securities broker Anthony Glenn Hall (CRD#: 5546165, Dayton, Texas) for not cooperating with FINRA investigators. Not only that, but BrokerCheck shows that Edward Jones, who employed Hall from 2008 to 2019, disaffiliated with him […]

Berthel Fisher Clients Allege Unsuitability, Misrepresentation By Securities Broker Steve Cummings Soreide Law Group is reviewing potential investor claims to bring against Berthel Fisher Company Financial Services and securities broker Steve Jeffrey Cummings (CRD#: 2274017, Fort Deposit, Alabama). Evidently, four clients filed disputes about Cummings alleging sales practice violations on alternative investments. Read on to […]

FINRA Suspends Securities Broker Serge Parakhnevich, And Investors Dispute His Sales Practices FINRA BrokerCheck shows that FINRA sanctioned securities broker Serge Parakhnevich (“Serge Parker”) (CRD#: 5493064, New York, New York) for trading without authorization. Moreover, Parakhnevich is facing investor disputes which allege excessive and unsuitable trading. Let’s take a look at these disputes, including what […]

Broker Ronald Giovino (GWN Securities) Barred, Involved In Investor Disputes The Financial Industry Regulatory Authority (FINRA) barred securities broker Ronald Joseph Giovino (CRD#: 2236071, Clearwater, Florida). This means that Giovino cannot be a securities broker with any FINRA-member firm (most securities firms in the country). In addition, it appears that Giovino is involved in disputes […]

Soreide Law Group has filed a FINRA arbitration on behalf of their client (Claimant) against: LPL FINANCIAL LLC (Respondent) The Claimant brings this action to recover alleged losses due to JP Morgan structured notes sold by Financial Advisor, Brian Singleton. The lawsuit states that the Respondent allegedly understood that the Claimant did not want to […]

ONESCO Broker Jesse Kovacs Suspended By FINRA, Accused Of Sales Practice Violations By Investors FINRA BrokerCheck contains important disclosures regarding securities broker Jesse Todd Kovacs (CRD#: 5047161, Forked River, New Jersey). Specifically, FINRA suspended Kovacs as a securities broker in September 2020 to resolve allegations that he engaged in a private securities transaction in violation […]