KENNETH ANDREWS WELSH (KENNETH A WELSH, KENNETH WELSH) CRD#: 4657872, a former broker/investment advisor with Wells Fargo Clearing Services, LLC, in Fairfield, New Jersey, was arrested October 28, 2021, at his home in River Edge, New Jersey, for allegedly misappropriating more than $2.8 million from five clients to pay for his gambling and to buy […]

The Florida-based, Soreide Law Group, obtained the following information on this Florida broker from FINRA’s website under, “Disciplinary and Other FINRA Actions,” October 2021: Thomas Ward Stratton (CRD #1646899, Melbourne, Florida) Stratton was previously registered with WORLD CHOICE SECURITIES, INC. of Melbourne, Florida from 01/05/2004 - 08/12/2021.  Thomas Ward Stratton had been listed as both […]

On October 10, 2021, the former LPL FINANCIAL LLP of East Petersburg, PA, broker/financial advisor, MICHAEL MILES HARTLETT (MIKE HARTLETT) CRD#: 1022139, was fined $5,000.00 and suspended for 10 business days (11/15/2021 - 11/29/2021) by the Financial Industry Regulatory Authority (FINRA). Hartlett is currently registered with INTERNATIONAL ASSETS ADVISORY, LLC of East Petersburg, PA. According […]

Equitable Advisors' Ryan Ott Suspended, Facing Investor Disputes Soreide Law Group has come across some important information relating to Ryan James Ott (CRD#: 6173815, Woodbridge, New Jersey). Notably, FINRA suspended Ott on August 23, 2021. It will potentially bar him by November 1, 2021, if he fails to either cooperate with its inquiry or get […]

FINRA Launches Investigation Into Securities Broker Antoine Souma Relating To Possible Concealment Of Client Complaint It appears that securities broker Antoine Nabih Souma (CRD#: 4210987, Los Angeles, California) is under FINRA investigation. Essentially, FINRA says in a December 2020 disclosure that it might take disciplinary action against Souma for possibly violating FINRA and MSRB rules […]

Securities Broker Mike Leahy Sanctioned By FINRA, Ordered To Pay Client Compensation For Failure To Supervise Soreide Law Group has come across the Financial Industry Regulatory Authority (“FINRA”) BrokerCheck profile of securities broker Michael Leahy “Mike Leahy” (CRD#: 1899498, Red Bank, New Jersey). It seems that the regulator suspended Leahy as a securities broker in […]

Clients Of SunTrust File Disputes Alleging Unsuitable Recommendations By Sandra McKoy Financial Industry Regulatory Authority (FINRA) indicates that SunTrust investors have taken issue with the sales practices of Sandra Benain McKoy (CRD#: 2954755, Tamarac, Florida). It appears that McKoy worked as a financial advisor or securities broker for SunTrust Investment Services (1997 to 2017), SunTrust […]

Securities Broker John Santariello Gets Barred By FINRA, Accused Of Sales Practice Violations Including Excessive Trading, Churning Soreide Law Group has learned through Financial Industry Regulatory Authority (FINRA) BrokerCheck that the regulator barred John Joseph Santariello (CRD#: 5746158, Coram, New York). Evidently, Santariello worked for securities firms KC Ward Financial, National Securities Corporation, Wilmington Capital […]

LPL Clients Complain About Securities Broker Michael Henschel's Annuity, REIT Transactions Soreide Law Group comes to you with some helpful information in regard to securities broker Michael James Henschel (CRD#: 3112890, Stevens Point, Wisconsin). Specifically, the securities broker, who has worked as both an LPL Financial advisor and securities broker since October 2011, is involved […]