FINRA Issues Suspension To Timothy O'Brien For Trading Infraction Soreide Law Group is reviewing possible investor lawsuits against Feltl securities broker Timothy David O’Brien (CRD#: 1182298, Inver Grove Heights, MN). Notably, FINRA BrokerCheck shows that of the 14 disclosures about O’Brien, at least six concern investor disputes and two concern regulatory actions. Both of those […]

Broker Galen Kopman Facing Disputes From Investors The Financial Industry Regulatory Authority (“FINRA”) reports troubling information in regard to Centaurus Financial securities broker Galen Kyle Kopman (CRD#: 3011906, Vancouver, Washington). Notably, FINRA BrokerCheck reports that three investors brought disputes about the securities broker. Here’s more on those disputes and what you could do if you […]

Securities Broker Mike Azad Involved In Investor Lawsuits Investor Alert! FINRA BrokerCheck shows troubling information regarding the sales practices of securities broker Masood “Mike” Husain Azad (CRD#: 4798445, League City, Texas). Particularly, four investors brought disputes about the broker’s sales practices. All four of those disputes came this year. In addition, FINRA expelled Azad in […]

Soreide Law Group obtained the following information from FINRA’s Disciplinary Report, December of 2020. James Kenneth Couture (CRD #4406284, Bellingham, Massachusetts) was barred from association with any FINRA member in all capacities on October 21, 2020. Couture was formerly with LPL FINANCIAL LLC of Worcester, MA. Without admitting or denying FINRA’s findings, James Kenneth Couture, […]

Soreide Law Group, based in South Florida, obtained the following information on FINRA’s website, regarding the South Florida broker/investment advisor, currently listed with PEAK BROKERAGE SERVICES, LLC of Jupiter, Florida as a broker, and BLACKRIDGE ASSET MANAGEMENT, LLC of Boca Raton, Florida as an investment advisor, Norman Stanley Batansky (CRD #834388, Boca Raton, Florida). On […]

Securities Broker Michael Giovannelli Targeted In Investor Disputes Soreide Law Group is contemplating possible investor claims or lawsuits regarding the sales practices of Michael John Giovannelli (CRD#: 4989449, Garden City, New York). Specifically, Giovannelli worked for Spartan Capital who disaffiliated with him in July 2020 for unauthorized trading. Not only that, but investors who held […]

Geneos Broker Joe Sturniolo Possibly Caused Investor Losses Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) BrokerCheck report for Geneos Wealth Management securities broker Joseph “Joe” Sylvester Sturniolo (CRD#: 1094557, Denver, Colorado) contains alarming information from clients of Geneos and First Allied Securities. Evidently, Sturniolo has worked for Geneos Wealth Management since 2006 in Denver, […]

The Pompano Beach, Florida-based, Soreide Law Group, has obtained the following information from FINRA’s website under, “Disciplinary and FINRA Actions, December 2020,” regarding the former Allstate Financial Services of Pompano Beach, Florida, broker James Ortega (CRD #6676466, Pompano Beach, Florida). Ortega was assessed a deferred fine of $5,000 and suspended from association with any FINRA […]

Investors Dispute Arni Diamond's Alternative Investment Sales Soreide Law Group provides you with this Investor Alert in regard to securities broker Arni Jay Diamond (CRD#: 2667392, Jacksonville, Florida). As reported on FINRA BrokerCheck, eight or more investors disputed Diamond’s sales practices. Just on October 15, 2020, Dempsey Lord Smith permitted Diamond to resign amid allegations […]