According to a recent article in Financial Advisor IQ, the Financial Industry Regulatory Authority (FINRA) has ruled against MORGAN STANLEY and their financial advisor KEVIN ANTHONY BUTLER (CRD#: 1138534).  The ruling was due to allegations of improper trading in options of Tesla stock. KEVIN ANTHONY BUTLER has been listed with MORGAN STANLEY in Norwell, Massachusetts, […]

National Securities Corp Clients Allege Unsuitable Transactions By Securities Broker Shaun Stein According to FINRA BrokerCheck, investors challenged the sales practices of securities broker Shaun Evan Stein (CRD#: 4873578, Jersey City, New Jersey). Evidently, Stein worked for JP Turner Company LLC and National Securities Corporation. The investment disputes reported on BrokerCheck concern his actions at […]

Soreide Law Group is investigating alleged claims by investors regarding the following broker formerly listed with Crown Capital Securities, L.P. of Watsonville, California, from 07/11/2011 - 12/31/2020: KENNETH JAMES BARROGA (CRD#: 2288752) According to FINRA’s BrokerCheck, available to the public on FINRA’s website, Barroga has not been registered with any other firms since December of […]

FINRA Issues Suspension To Broker Hector Ramos To Resolve Allegations Of Unsuitable Recommendations Financial Industry Regulatory Authority ("FINRA") BrokerCheck provides you with important information about securities broker Hector Ramos (CRD#: 4172477, Brandon, South Dakota). Notably, FINRA sanctioned Ramos twice, and an investor complained about him. Here's more. FINRA Suspends Hector Ramos In 2020 For Allegedly […]

Soreide Law Group has been contacted by former clients regarding the following broker, and upon investigation into his FINRA BrokerCheck report, it was discovered that he has 20 disclosures on his FINRA CRD report, with 18 “Customer Disputes.” MICHAEL FASCIGLIONE (CRD#: 1806486), is currently with AEGIS CAPITAL CORP. of Mineola, New York since 9/13/2017. According […]

Securities Broker Torry Morris (Lincoln Investment, Investors Capital Corp) In Disputes Alleging Sales Practice Violations The Financial Industry Regulatory Authority (“FINRA”) BrokerCheck report for securities broker Anthony Ryan Morris “Tony Morris” (CRD#: 2849581, El Paso, Texas) shows that his employer, Lincoln Investment (El Paso, Texas), permitted him to resign amid allegations of violating policy. BrokerCheck […]

Soreide Law Group has been contacted by investors regarding the broker: ERIC PETER WESCHKE (CRD#: 2486324) Weschke is currently registered both as an investment advisor and broker with KALOS CAPITAL, INC. of SETAUKET, NEW YORK, since May 16, 2011. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, ERIC PETER WESCHKE has been […]

Broker John Lowry Investigated By FINRA, Involved In Spartan Client Disputes Soreide Law Group provides you with some of the latest information in regard to securities broker John Dennis Lowry (CRD#: 4336146, New York, New York). It appears that Lowry, who is the CEO of Spartan Capital Securities LLC, faces an August 2020 FINRA investigation […]

Ameriprise Financial Services' Barry Abrams Facing Investor Disputes Alleging Unsuitability, Breach Of Fiduciary Duty Soreide Law Group brings you up to speed regarding securities broker Barry David Abrams (CRD#: 488, Marlton, New Jersey). Specifically, FINRA BrokerCheck shows that five investors brought disputes about Abrams, and a couple of those disputes concern Abrams’ actions at Ameriprise […]