Centaurus Broker Marc Korsch Possibly Sold Bad Investments The Financial Industry Regulatory Authority (“FINRA”) reports troubling information in regard to securities broker Marc F. Korsch (CRD#: 5525226, Sarasota, Florida). Namely, this securities broker, who worked for Trustmont Financial Group Inc. (2011 to 2014) and Centaurus Financial Inc. (2014 to 2021), is involved in investor disputes […]

Soreide Law Group is currently investigating claims against the broker/investment advisor, currently listed with Morgan Stanley of Beverly Hills, California: BARRY MARTIN SPEYER CRD#: 432002 According to FINRA’s BrokerCheck, available to the public on FINRA’s website, BARRY MARTIN SPEYER has been in the securities industry for 50 years.  Speyer has 9 “Disclosures” on his FINRA […]

Securities Broker Kinan Nimeh Involved In Investor Disputes About Suitability, Excessive Trading The Financial Industry Regulatory Authority (“FINRA”) reports troubling information in regard to securities broker Kinan Nimeh (CRD#: 4438900, New York, NY). Specifically, the securities broker, who worked for firms Rockwell Global Capital (2011 to 2015), McBarron Capital LLC (2015 to 2016), CV Brokerage […]

Securities Broker Jim Allen Involved In Suitability Disputes Soreide Law Group is reviewing whether to bring possible investor lawsuits against James “Jim” Allen (CRD#: 2287824, Chicago, Illinois). The securities broker worked for Citigroup Global Markets (2007 to 2017), Sanctuary Securities (2017 to 2020) and Oppenheimer (2020 – present). Evidently, two investors brought investment disputes about […]

Soreide Law Group (888-760-6552) obtained the following information on FINRA’s website under, “Disciplinary and Other FINRA Actions January 2021.” David Todd Phillips (CRD #3094195, Gilbert, Arizona) On November 18, 2020, FINRA issued an Acceptance, Waiver and Consent (AWC) in which David Todd Phillips was assessed a deferred fine of $5,000 and suspended from association with […]

APOSTOLOS NICOLAS PITSIRONIS (APOSTOLOS  PITSIRONIS, PAUL PITSIRONIS) CRD#: 2804907, a former broker previously registered with Janney Montgomery Scott LLC of Melville, NY, was barred by FINRA in September of 2019, and is now facing criminal charges according to a recent article in Financial Advisor IQ.  According to the article, Pitsironis is accused of misappropriating hundreds […]

Broker Charles Correal Allegedly Sold Bad Investments The investment loss recovery attorneys at Soreide Law Group provide you with this Investor Alert in regard to securities broker Charles “Chuck” Ryan Correal (CRD#: 1366202, Pittsburgh, Pennsylvania). Of great concern is the fact that the securities broker, who worked for securities firms Morgan Stanley and Harvest Financial, […]

Securities Broker Rodrigue Lors Purportedly Sold Bad Private Placements The Financial Industry Regulatory Authority (FINRA) reports troubling allegations concerning securities broker Rodrigue Lors (CRD#: 4379214, Westbury, New York). Specifically, the securities broker is involved in at least 5 disputes. Those disputes allege sales practice violations including Lors’ unsuitable trading. Here’s more on the disclosures which […]

In an article today in Financial Advisor IQ, it was reported that MARK LEWTON HOPKINS (CRD#: 2653473, Mark Hopkins), a 53 year-old former financial advisor from American Portfolios Financial Services of Grand Blanc, Michigan, is not only facing charges from the SEC, but is now also facing wire fraud charges from the Department of Justice. […]