Newbridge Securities Corporation Client Alleges Bad Alternative Investments In Dispute About Broker Marshall Isaacson The Financial Industry Regulatory Authority (“FINRA”) BrokerCheck report for securities broker Marshall Owen Isaacson (CRD#: 1140370, Boca Raton, Florida) contains new disclosures. Evidently, the securities broker worked for National Securities Corporation from August 2007 to July 2016, and Newbridge Securities Corporation […]

The Florida-based, Soreide Law Group, obtained the following information on FINRA’s website under, “Disciplinary and Other FINRA Actions—August 2021.” On June 25, 2021, Nathan Gersteen Katz, formerly with American Independent Securities Group, LLC of Largo, Florida, was barred by FINRA from acting as a broker or otherwise associating with a broker/dealer firm. An Acceptance, Waiver, […]

LPL Financial Client Brings Dispute About Investing In REIT, BDC Through Broker Laura Shrawder-Miles Soreide Law Group provides you with new information in regard to the allegations against securities broker Laura Renee Shrawder-Miles (CRD#: 2384721, Sunbury, Pennsylvania). Notably, four investors disputed Shrawder-Miles’s sales practices, and LPL Financial LLC disaffiliated with her for alleged misconduct. Let’s […]

Merrill Lynch Client Files Dispute About Broker Peter Ianace's Recommendations The Financial Industry Regulatory Authority (FINRA) discloses new information through BrokerCheck as it relates to Peter Vincent Ianace (CRD#: 3238078, Plano, Texas). It appears that the securities broker, who worked for Merrill Lynch (2011 to 2019) and Wells Fargo Clearing Services (2019 to 2020), is […]

Soreide Law Group, based in South Florida, obtained the following information from FINRA’s website on the following broker who was registered with GENTEM CAPITAL LLC in Old Bridge, New Jersey and Miami, Florida: Cesar Gabriel Hernandez (CRD #3249722, Miami, Florida) On June 24, 2021, an Acceptance, Waiver, and Consent (AWC) was issued by FINRA in […]

On June 4, 2021, GRANT CHRISTOPHER BIRKLEY (GRANT BIRKLEY) CRD#: 2933533, formerly with SagePoint Financial of Barrington, Illinois, was barred by FINRA from acting as a broker or otherwise associating with a broker/dealer firm. Without admitting or denying FINRA’s findings, GRANT CHRISTOPHER BIRKLEY consented to the sanction and to the entry of findings that he […]

FINRA Bars Robert Escobio Per NAC Decision The Financial Industry Regulatory Authority (“FINRA”) barred Robert Juan Escobio – the former Southern Trust Securities CEO (CRD#: 703813, Miami, Florida). This bar means that Escobio cannot be a FINRA-member securities broker or associate with those firms. Other regulatory actions are reported on this securities broker’s record too. […]

Securities Broker Scott Wolfrum (David A. Noyes) Involved In Investor Dispute, Sanctioned By SEC Soreide Law Group has new information to report concerning securities broker Scott Thomas Wolfrum (CRD#: 2187550, Indianapolis, Indiana). Evidently, the securities broker was associated with Wells Fargo Advisors (2011 to 2013), David A. Noyes Company (2013 to 2018), and Huntleigh Securities […]

The Financial Industry Regulatory Authority (FINRA) has barred ALEXIS COOKE (ALEXIS K COOKE, ALEXIS KINASHEA COOKE) CRD#: 5598604, on August 13, 2021, from acting as a broker or otherwise associating with a broker/dealer firm. According to the FINRA report, available to the public on FINRA’s website, without admitting or denying the findings, ALEXIS COOKE consented […]