RYAN ASHLEY RASKIN (RYAN RASKIN) CRD#: 5539610, formerly of Merrill Lynch in Beverly Hills, California, was recently barred by FINRA for failing to cooperate with its investigation into why he was discharged from Merrill Lynch. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, Raskin was discharged on March 4, 2020 from Merrill […]

Securities Broker John Cullen Targeted In Disputes From Clients Of Spartan Capital, Andrew Garret The Financial Industry Regulatory Authority (“FINRA”) reports investor disputes regarding the sales practices of securities broker John Cullen (CRD#: 5062835, Garden City, New York). Namely, this securities broker, who worked for five securities firms including Spartan Capital Securities and Andrew Garrett, […]

Broker Charles Kulch Targeted In Investor Disputes, Massachusetts Securities Division Complaint Soreide Law Group is investigating possible investor disputes against securities broker Charles Chester Kulch (CRD#: 2371584, Nashua, New Hampshire). Critically, the securities broker, who worked for NEXT Financial Group from 2006 to 2020, is the focus of at least 10 investors’ disputes. Not only […]

Investors File Lawsuits Over Suitability Of Matthew Siliato's Securities Transactions The investment loss recovery team at Soreide Law Group brings you this investor update in regard to securities broker Matthew Angelo Siliato (CRD#: 5062153, Bronx, New York). Notably, of major concern to investors should be the 14 disclosures on Siliato’s record which involve adverse information […]

Client Of Royal Alliance Takes Aim At Broker Sharon Kwan For Purported Misrepresentation The Financial Industry Regulatory Authority (“FINRA”) reports troubling information on BrokerCheck in regard to broker Sharon Melinda Kwan (CRD#: 2578627, Arcadia, CA). Notably, her BrokerCheck record shows that three investors filed disputes, and that FINRA suspended her for violating FINRA rules. Evidently, […]

ANGEL WYNETTE BARDECHE (ANGEL W BARDECHE, ANGEL WYNETTE LENTZ) CRD#: 4698117, was fined and suspended by the Financial Industry Regulatory Authority, Inc. (FINRA) on January 6, 2021. Bardeche is a former Ameriprise Financial broker of Cincinnati, Ohio, who allegedly generated $450,000 in commissions from unsuitable mutual fund switches over a two year period according to […]

Broker Sumitro Pal Purportedly Made Bad Trades In Morgan Stanley Customers' Accounts Soreide Law Group is evaluating possible investor disputes against securities broker Sumitro Pal (CRD#: 4763364, Bethesda, Maryland). Specifically, FINRA – the financial industry watchdog – indicates that 10 or more investors complained about Pal. Notably, the majority of clients brought disputes from 2017 […]

NYLife Investors Complain About Broker Sudesh Jain Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports that seven investor disputes are on the BrokerCheck record of securities broker Sudesh Kumar Jain (CRD#: 1325905, Dayton, Ohio). Evidently, Jain worked for NYLife Securities until 2016 and joined MML Investors Services in August 2017. Notably, investors indicate in […]

According to December of 2020 FINRA Disciplinary Report, on October 19, 2020, Eric Steven Smith (CRD #2894648, Troy, Michigan) appealed a National Adjudicatory Council (NAC) decision to the SEC. Eric Steven Smith was barred from association with any FINRA member in all capacities and ordered to pay $130,000, plus prejudgment interest, jointly and severally with […]