FINRA Bars Securities Broker Brian Radoo, And Investors File Disputes About Him The Financial Industry Regulatory Authority (FINRA) contains important regulatory sanctions and client disputes involving securities broker Brian Radoo (CRD#: 2558458, Tucson, Arizona). It appears on BrokerCheck that FINRA barred Radoo as a securities broker in December 2020. Six investors filed disputes alleging sales […]

Securities Broker Byron Treat Barred For Allegedly Failing To Comply In FINRA Investigation Over Church Bond Sales Soreide Law Group provides you with an update regarding the FINRA BrokerCheck disclosures connected to securities broker Byron Pat Treat (CRD: 1466393, Amarillo, Texas). Namely, FINRA barred Treat indefinitely following an investigation into his supervision of illiquid investment […]

Broker Wes Patterson Gets Suspended By FINRA For Selling Away The Financial Industry Regulatory Authority (FINRA) reportedly suspended securities broker Micah Wesley Patterson (“Wes Patterson”) (CRD#: 5562392, Layton, Utah), who worked for securities firms Northwestern Mutual Investment Services, MML Investors Services LLC (2014 to 2017), and most recently, Hornor Townsend Kent LLC (2017 to 2020). […]

Securities Broker Nick Palumbo, Who FINRA Barred, Is Involved In An Investor Dispute The Soreide Law Group has come across important information regarding securities broker Nicholas Richard Palumbo (“Nick Palumbo”) (CRD#: 1069948, Armonk, New York). It appears that an investor challenged Palumbo’s sales practices at Park Avenue Securities LLC, where he worked from May 1999 […]

Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: KALOS CAPITAL, INC., and their registered representative, ERIC PETER WESCHKE (Respondents). The Claimant brings this action to recover investment losses experienced due to the Respondents alleged recommendations of unsuitable alternative investments, business development corporations (BDCs) and real estate investment trusts […]

New Jersey Securities Bureau Bars John Cahill As Securities Broker, Financial Advisor Representative Soreide Law Group is looking into potential claims to bring on behalf of investors against securities broker John Joseph Cahill (CRD#: 1240551, Upper Salle River, New Jersey). Supposedly, the New Jersey Bureau of Securities revoked Cahill’s securities broker and financial advisor representative […]

Centaurus Financial Broker Marty Dickerson (Centaurus Financial) Facing Accusations Of Unsuitable Trading, Negligence Soreide Law Group comes to you with important information regarding securities broker Marcious Dickerson (“Marty Dickerson”) (CRD#: 1053338, Livonia, Michigan). According to Financial Industry Regulatory Authority (FINRA) BrokerCheck, four investors filed disputes about Dickerson. Three of those disputes concern Dickerson’s actions at […]

Securities Broker Adam Summers Terminated By Stifel Nicolaus, Referenced In Investor Dispute Soreide Law Group provides you with an update on securities broker Adam Petersen Summers (CRD#: 5587343, Frankfort, Illinois). It appears on Financial Industry Regulatory Authority (FINRA) BrokerCheck that Summers worked for securities firms Wells Fargo Clearing Services LLC (October 2010 to January 2021), […]

Broker George Warner Barred By FINRA, Involved In Investor Dispute Alleging Selling Away Soreide Law Group is investigating potential investor disputes to bring against securities broker George Marshall Warner Jr. (CRD#: 2300570, Staten Island, New York). Evidently, FINRA barred Warner as a securities broker in March 2021 because of him failing to comply with an […]