Latest Securities Lawyer News

MARIO EVERILDO RIVERO (MARIO E RIVERO), formerly of  Wells Fargo of Elizabeth, New Jersey, and LPL Financial of Red Bank, New Jersey, is facing charges that he allegedly misappropriated his clients out of more than half a million dollars. On March 14, 2022, the Securities and Exchange Commission (SEC), filed a complaint civil complaint, which […]

The Florida-based Soreide Law Group obtained the following information on FINRA’s website under, “Disciplinary and Other FINRA Actions,” from March, 2022 on the following Florida broker: Tarek Mohsen Mohamed (Tarek Mohamed, CRD #6717691), New Port Richey, Florida) formerly with Bankers Life Securities of Clearwater, Florida. On January 27, 2022  an Order Accepting Offer of Settlement […]

Soreide Law Group is currently investigating claims involving James Taylor Davis, who is a registered representative of, Northwest Mutual Investment Services, LLC, of Lexington, Kentucky. James Taylor Davis is the subject of a settled case involving alleged misconduct relating to variable universal life insurance products. In the case, investors sought $25,000 in damages and were […]

Securities Broker Mark Huber Involved In Investor Disputes Involving Concorde Investment Services Clients It appears that securities broker Mark Huber (CRD#: 5976354, Racine, Wisconsin) is involved in disputes alleging sales practice violations. Evidently, Huber joined Concorde Investment Services as a securities broker in March 2012. He also became a financial advisor there in July of […]

Broker Danny Young Involved In Investor Disputes Brought By Voya, ING Clients Soreide Law Group comes to you with new information in regard to securities broker Danny Young (CRD#: 4115155, Lake City, Florida). It seems that Young worked for securities firms Voya Financial Services Inc. as both a financial advisor and securities broker. He joined […]

Morgan Stanley Clients, Prime Capital Services Clients Allege Sales Practice Violations By Mark Wells The Financial Industry Regulatory Authority (FINRA) contains important information on Mark Walter Wells (CRD#: 3053517, Boca Raton, Florida). Namely, the securities broker, who worked for Morgan Stanley in Boca Raton, Florida, since 2014, is involved in an investor dispute regarding alleged […]

Money Concepts Capital Corp Clients Allege Unsuitable Investments By Securities Broker Craig Sutherland Soreide Law Group is reviewing potential investor claims to be brought against securities broker Craig Alan Sutherland (CRD#: 2001873, Columbus, Ohio). Evidently, Sutherland worked for Money Concepts Capital Corp as a securities broker from May 1994 to May 2021. Notably, 10 investors […]

Broker Luisa Gonzalez Accused Of Sales Practice Violations According To SunTrust Investor's Dispute The Financial Industry Regulatory Authority (“FINRA”) contains new disclosures concerning securities broker Mercado “Luisa” Gonzalez (CRD#: 2765208, Kissimmee, Florida). Evidently, Gonzalez worked for securities firms Leaders Group Inc. (2020 – present), PNC Investments (2017 to 2019), SunTrust Investment Services (2012 to 2017), […]

Securities Broker Peter Schiff Involved In Euro Pacific Capital Investor Disputes New client disputes appear on FINRA BrokerCheck concerning securities broker Peter David Schiff (CRD#: 1759484, Newport Beach, California). Evidently, those disputes concern Schiff’s purported misrepresentations and unsuitable transactions at Euro Pacific Capital (now known as AGP Alliance Global Partners). Schiff became an Alliance Global […]