Soreide Law Group has represented over twelve Northstar Financial Services (Bermuda) investors and has several cases still pending against: SunTrust, BB&T, and Ocean Financial. Another broker/dealer brought to our attention is ROBIN VAIL PLATT who is currently registered with HANCOCK WHITNEY INVESTMENT SERVICES INC. of Covington, Louisiana. Allegedly, ROBIN VAIL PLATT, a registered representative with […]

Dawson James Securities Clients File Disputes About Securities Broker Douglas Armstrong Soreide Law Group has important information to share with you regarding Robert Douglas Armstrong (CRD#: 5236735, Boca Raton, Florida). Namely, Armstrong, who became a Dawson James Securities Inc. employee in August 2012, is involved in eight investor disputes. Here's more on the disclosures and […]

Raymond James Clients File Disputes Alleging Sales Practice Violations By Gregory Collier The Financial Industry Regulatory Authority (FINRA) contains current information on disputes involving securities broker Gregory Cline Collier Sr. (Gregory Cline) (CRD#: 1408843, Mount Dora, Florida). Evidently, the securities broker worked for Raymond James Financial Services (April 2005 – present) as securities broker, and […]

On November 2, 2021, JAMES ALAN SEIJAS (JAMES A SEIJAS) CRD#: 2392901, was barred by FINRA from acting as a broker or otherwise associating with a broker/dealer firm. Seijas was registered from November of 2013 until March of 2019 with WELLS FARGO CLEARING SERVICES, LLC of Short Hills, New Jersey. According to the FINRA report, […]

Soreide Law Group obtained this information on the following broker from FINRA’s website under, “Disciplinary and Other FINRA Actions,” October 2021: ALFONSE JOSEPH STAZZONE (ALFONSE JOSEPH STAZZONE JR., CRD #4908107, Staten Island, New York) On August 16, 2021, an Acceptance, Waiver and Consent (AWC) was issued in which ALFONSE J STAZZONE was fined $5,000 and […]

Soreide Law Group has obtained the following information on the SW FINANCIAL of New York, NY, broker, from FINRA’s Disciplinary Report October of 2021:  JOHN SEBASTION CANGIALOSI (JOHN S CANGIALOSI, JOHN SEBASTION CANGIALOSI JR.) (CRD #3273830, Manalapan, New Jersey) On August 12, 2021 an Acceptance, Waiver, and Consent (AWC) was issued in which John S […]

The Florida-based Soreide Law Group obtained the following information from FINRA’s October 2021 Disciplinary Report on, Primary Capital, LLC (Miami, Florida). On August 16, 2021, an Acceptance, Waiver, and Consent (AWC) was issued in which Primary Capital was censured and fined $50,000.00 by FINRA. Without admitting or denying FINRA’s findings, Primary Capital consented to the […]

FINRA Issues Suspension To Mike Hartlett For Discretionary Trading At LPL Financial Soreide Law Group is investigating possible investor claims or disputes against LPL Financial securities broker Michael Miles Hartlett (“Mike Hartlett”) (CRD#: 1022139, East Petersburg, Pennsylvania). Namely, the Financial Industry Regulatory Authority (FINRA) suspended and fined Hartlett for allegedly making discretionary trades in violation […]

Chris Eriksson Terminated From Merrill Lynch Following Allegations Soreide Law Group has news to share with you regarding securities broker Christopher Thomas Eriksson (“Chris Eriksson”) (CRD#: 2487298, Wayzata, Minnesota). Specifically, Merrill Lynch terminated Eriksson following misconduct allegations, and six investors challenged his sales practices. Read below for more information on this securities broker's disclosures and […]