Voya Securities Broker Pete Mersberger Facing Allegations Of Sales Practice Violations Soreide Law Group has new information to share with you in regard to securities broker Peter Jerome Mersberger “Pete Mersberger” (CRD#: 2372186, Sheboygan Falls, Wisconsin). Namely, four investors challenged Mersberger’s sales practices, and two of those disputes concern his actions at Voya Financial Advisors […]

Comerica Investors Allege Sales Practice Violations By Securities Broker Ed Torriente Soreide Law Group is investigating potential investor claims against securities broker William Edward Torriente Jr. (known as Ed Torriente and Eddy Torriente) (CRD#: 4255814, Phoenix, Arizona). It appears that Torriente worked for Comerica Securities Inc. from 2009 to 2020. Notably, three clients of Comerica […]

Barrett Company Clients Take Issue With Securities Broker Chad White The Financial Industry Regulatory Authority (“FINRA”) indicates through BrokerCheck that investors challenged the sales practices of Barrett Company securities broker Charles Edward White II “Chad White” (CRD#: 1345688, Providence, Rhode Island). Namely, seven investors disputed White’s actions. Allegations include unsuitability and misrepresentation. And Massachusetts Securities […]

CHRISTOPHER THOMAS ERIKSSON (CRD#: 2487298) was previously registered as a broker with Merrill Lynch, Pierce, Fenner & Smith, Incorporated of Wayzata, Minnesota from 01/14/2005 - 11/18/2020. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, CHRISTOPHER THOMAS ERIKSSON has been listed in the securities industry for 26 years. He is not currently listed.  […]

On October 7, 2021, ERIC SHEA HOLLIFIELD (ERIC S HOLLIFIELD) was barred by the Financial Industry Regulatory Authority (FINRA).  Hollifield was previously registered both as a broker and as an investment advisor.  He was formerly registered as a broker with LPL FINANCIAL LLC OF Dacula, Georgia from 10/14/2016 - 09/10/2021. According to the FINRA report, […]

Did your broker sell you JPMorgan Chase Linked Notes to XOP – Cusip 48132C4L4 JP Morgan offers structured investments and some investors may not fully appreciate their risks. Structured products can offer enhanced return but brokers often times downplay the risks when the underlying linked asset fails to perform. One product we are investigating is […]

Morgan Stanley Disaffiliates With Securities Broker Robert Mitchell Following Client Disputes Soreide Law Group has important information to share with you regarding securities broker Robert Lynn Mitchell (CRD#: 1523211, Frisco, Texas). Namely, Morgan Stanley, who employed Mitchell from June 2009 to February 2021, disaffiliated with him for alleged outside business activities. Not only that, but […]

Securities Broker Arieh Israel Barred By FINRA, Facing NYLife Client Complaint Notably, FINRA barred securities broker Arieh Israel (CRD#: 6481347, New York, New York) as a securities broker to resolve allegations of misuse of investor funds. Not only that, but Israel, who worked for NYLife Securities from October 2016 to February 2020, is facing investor […]

NBC Clients Allege Misrepresentation, Unsuitable Trading In Disputes About Securities Broker Marcello Lattuca Soreide Law Group has news to share with you regarding the Financial Industry Regulatory Authority (FINRA) BrokerCheck disclosures of securities broker Marcello Lattuca (CRD#: 2149434, Massapequa, New York). Namely, four investors disputed Lattuca’s sales practices, and clients brought three disputes in 2020. […]