Latest Securities Lawyer News

Clients Of Merrill Lynch File Disputes About Frank Coussens' Investment Transactions The Financial Industry Regulatory Authority (FINRA) contains new information in regard to securities broker Frank Joseph Coussens (CRD#: 730556, Coral Gables, Florida). Evidently, Coussens worked for firms Merrill Lynch (1981 to 2016) and Ameriprise Financial Services (2016 to present) as both financial advisor and […]

Soreide Law Group obtained the following information from the March 2022 Disciplinary Report from FINRA's website, on the following broker: Warren Ellwood Rowe Jr (CRD #1065880, Irvington, Virginia) formerly with Oppenheimer & Co, Inc of Richmond, Virginia. On January 3, 2022 an Acceptance, Waiver and Consent (AWC) was issued in which Warren Ellwood Rowe Jr […]

Soreide Law Group obtained the following information from FINRA’s website under, “Disciplinary and Other FINRA Actions,” March, 2022 regarding broker/financial advisor: Joseph Brian LaScala Jr (Joe LaScala Jr, CRD #3070261, Merrick, New York), who is currently registered with Aegis Capital of Melville, New York. On January 24, 2022, an Acceptance, Waiver and Consent (AWC) was […]

Clients Of JP Morgan File Disputes About Boris Mihailevsky The Financial Industry Regulatory Authority (FINRA) is reporting new disclosures on the record of securities broker Boris Mihailevsky (CRD#: 5584758, New York, New York). The regulator shows that Mihailevsky worked for securities firms Chase Investment Services Corp (2010 to 2012) and JP Morgan Securities (2012 to […]

The Florida-based Soreide Law Group has obtained the following information on FINRA’s website in the March 2022 Disciplinary report on the following Florida broker: JOSHUA DAVID NICHOLAS (Josh Nicholas CRD#: 6529944, Stuart, Florida), previously with Merrill Lynch, Pierce, Fenner & Smith Incorporated of Stuart, Florida, from 02/03/2020 - 07/31/2020. On January 24, 2022, an Acceptance, […]

Securities Broker Thomas Hunt (Wells Fargo) Involved In Investor Dispute Alleging Sales Practice Violations Soreide Law Group comes to you with new information regarding securities broker Thomas Boley Hunt (CRD#: 1323743, Twin Falls, Idaho). Before joining LPL Financial LLC as a financial advisor and securities broker in August 2018, Hunt worked for securities firms Wells […]

Allstate Securities Broker Ivan Wenzel Involved In Investor Dispute About Annuity The Financial Industry Regulatory Authority (FINRA) contains new information about securities broker Rodolf Ivan Wenzel (“Ivan Wenzel”) (CRD#: 1532033, Redlands, California). Evidently, Wenzel worked for firms Allstate Financial Services (1999 to 2018) and Voya Financial Advisors (2019 to 2020). Specifically, two Allstate investors filed […]

Investor Disputes Center Around IBN Securities Broker Robert Star The Financial Industry Regulatory Authority (FINRA) contains important information regarding securities broker Robert Mark Star (CRD#: 3235830, Bluffton, South, Carolina). Evidently, Star worked for securities firms UBS PaineWebber, EDI Financial, Source Capital Group, Starvangrouw Financial, IBN Financial Services, and IBN Advisory Services. Star has been a […]

In a recent article from InvestmentNews, it was reported that in a Financial Industry Regulatory Authority Inc. (FINRA) arbitration two claimants were awarded $2.66 million in damages due to losses from the sale of nontraded real estate investment trusts (REITs) and annuities. According to the FINRA award, the two claimants filed the FINRA claim against […]