FINRA Investigating Securities Broker David Melilli (SagePoint, Cambridge Investment Research) Soreide Law Group provides you with important investor-related information in regard to securities broker David John Melilli (CRD#: 5254172, Moorestown, New Jersey). Evidently, Melilli worked for SagePoint Financial from 2010 to 2019, LPL Financial in 2018, and Cambridge Investment Research from 2019 to 2020. Namely, […]

Hilltop Securities Clients File Disputes About Financial Advisor Dennis Robberecht Financial Industry Regulatory Authority (“FINRA”) shows on BrokerCheck that investors filed disputes about securities broker Dennis Robberecht (CRD#: 1213446, Roseville, California). Namely, the securities broker, who started working for Hilltop Securities in November 2008 as both a financial advisor and securities broker, is involved in […]

Aegis Investment Corp Clients File Disputes About Securities Broker Cory Bataan The Financial Industry Regulatory Authority (“FINRA”) reports important information regarding securities broker Cory David Bataan (CRD#: 2755223, Melville, New York). Notably, the securities broker, who worked for Aegis Capital Corp from 2012 to 2019, is involved in investor disputes involving clients of that firm. […]

Broker Thomas Laws Involved In Avantax Investors' Complaints Another investor appears to have disputed the sales practices of securities broker Thomas H. Laws (CRD#: 4494448, Silver City, New Mexico). The Financial Industry Regulatory Authority (“FINRA”) BrokerCheck report on Laws shows that two investors disputed his sales practices. Not only that, but both SEC and FINRA […]

Soreide Law Group, based in Florida, obtained the following information from FINRA’s website under, “Discipline and Other FINRA Actions, June 2021,” regarding Florida broker: Frederick Joseph Rock (CRD #2548242, Tampa, Florida) On April 23, 2021, an Acceptance, Waiver and Consent (AWC) was issued in which Frederick Joseph Rock was assessed a deferred fine of $5,000 […]

Joseph Gunnar Securities Broker Anthony Sica Involved In Investor Suitability Disputes Soreide Law Group brings you this update in regard to securities broker Anthony Sica (CRD#: 1332626, New York, New York). Notably, this securities broker, who worked for Joseph Gunnar And Company LLC since October 2003, is accused of sales practice violations. Specifically, Financial Industry […]

Securities Broker Jay Weiser (Des Pain Financial) Involved In Investment Disputes The Financial Industry Regulatory Authority (“FINRA”) reports new important information in regard to securities broker Jay R. Weiser (CRD#: 1511042, Collinsville, Illinois). Notably, the securities broker, who worked for Des Pain Financial Corporation from June 2000 to June 2018, is involved in two investor […]

Farmers Financial Solutions Broker Kirk Bertsch Faces Investor Dispute, FINRA Sanctions For Woodbridge Transactions The Financial industry Regulatory Authority (“FINRA”) reveals that an investor disputed the sales practices of securities broker Kirk James Bertsch (CRD#: 4132889, Spearfish, South Dakota). The securities broker worked for Farmers Financial Solutions as a securities broker from 2008 to 2018, […]

Wedbush Securities Broker Marc Winters Barred By FINRA For Not Responding To Regulator's Request Soreide Law Group has important information to share with you regarding securities broker Marc Winters (CRD#: 4053113, Los Angeles, California). Notably, Financial Industry Regulatory Authority (“FINRA”) barred Winters, who worked as a securities broker for Wedbush Securities from 2004 to 2020. […]