Broker Ronald Birnbaum Involved In Investor Disputes The Financial Industry Regulatory Authority (“FINRA”) reports troubling allegations of misconduct by securities broker Ronald Birnbaum (CRD#: 2382580, Newton, Massachusetts). Evidently, Birnbaum works for Advisory Group Equity Services Ltd. as a stockbroker and Trust Advisory Group Ltd. as a financial advisor. Notably, he is involved in six investor […]

Losses By Investing In Oaktree REIT? Soreide Law Group is reviewing potential complaints or lawsuits against financial advisors who might have recommended Oaktree Real Estate Investment Trust (Oaktree REIT). Notably, Oaktree REIT is a risky, non-traded real estate security which might be inappropriate for certain investors’ investment portfolios. Here’s more about the REIT and what […]

Opioid Manufacturer Mallinckrodt (MNK) Files For Bankruptcy Investor alert! Pharmaceutical company and opioid producer Mallinckrodt PLC (NYSE: MNK) has just filed for Chapter 11 bankruptcy protection. Soreide Law Group is reviewing possible claims against financial advisors and securities brokers who might have advised clients to purchase shares of Mallinckrodt. Here’s more on what led to […]

Did Your Broker, Advisor Recommend Direxion Daily Energy Bull 2X Shares (NYSEARCA: ERX)? Soreide Law Group is investigating potential investor claims of sales practice violations against financial advisors and securities brokers who recommended or sold Direxion Daily Energy Bull 2X Shares (NYSEARCA: ERX). Evidently, ERX is a leveraged equity fund issued by Direxion Funds. It […]

SEAN MICHAEL REFSNIDER CRD#: 4762963, a former broker with Ameriprise Financial Services of Haddon Heights, New Jersey, has been barred by FINRA from acting as a broker or otherwise associating with a broker-dealer firm for allegedly converting more than $42,000 of an elderly client’s funds for his own use. Without admitting or denying FINRA’s allegations, […]

Broker Craig Zabala Misappropriated Assets, SEC Complaint Indicates Soreide Law Group is reviewing potential investor claims against securities broker Craig Anthony Zabala (CRD#: 2740680, Harlem New York). Notably, the Securities and Exchange Commission (“SEC”) brought a lawsuit against Zabala in which it makes troubling allegations including misappropriation. Not only that, but Financial Industry Regulatory Authority […]

Investors, Regulators Take Action Against David Khezri The Financial Industry Regulatory Authority (“FINRA”) reports troubling allegations of misconduct against securities broker David Khezri (CRD#: 2736831, Hauppauge, New York). Namely, the securities broker, who currently works in Network 1 Financial Securities’ Hauppauge offices (2010 – present) and who also worked for Worden Capital Management (2017 – […]

Broker Bryan Mazliach Identified In Client Disputes, FINRA Complaint Soreide Law Group is evaluating possible investor claims of sales practice violations by Bryan G. Mazliach (CRD#: 5518438, Fort Lauderdale, Florida). Apparently, the securities broker, who worked for Rockwell Global Capital (2010 to 2015), Laidlaw (2015 to 2017) and Westpark Capital (2017 to 2018), is involved […]

Aegis Client Indicates That Broker Made Sales Practice Violations Investor alert! The Financial Industry Regulatory Authority (“FINRA”) reports troubling allegations of misconduct regarding securities broker Mickey Schreiber, who also goes by the name M.B. Schreiber (CRD#: 1032600, Red Bank, New Jersey). Apparently, Schreiber worked for securities firms including National Securities Corporation (2012 to 2016) and […]