On September 9, 2020, JODIE LANE (Also known as: JODIE GRUBER, JODIE PIKE) CRD#: 5069112, was fined $10,000 and suspended for four months by FINRA, for allegedly failing to follow her former firm’s (LPL Financial of Franklin, Wisconsin) policies on disclosing financial dealings with clients. Without admitting or denying FINRA’s findings, JODIE LANE consented to […]

Clients Of Forta, Presidental Brokerage Take Aim At Broker Greg Williams Who Allegedly Breached A Fiduciary Duty Soreide Law Group is contemplating whether to bring investment-related lawsuits against securities broker Gregory Jon Williams (CRD#: 1561089, Greenwood Village, Colorado). The most alarming thing about Williams – who is in his 10th year as a Forta Financial […]

PETER VINCENT IANACE (PETER V IANACE) CRD#: 3238078 was barred by FINRA from acting as a broker or otherwise associating with a broker/dealer firm, according to FINRA’s BrokerCheck, on September 3, 2020.  Ianance was previously registered both as a broker and as an investment advisor.  According to FINRA, the former Merrill Lynch, Frisco, Texas, and […]

Clients Of UBS Indicate Fred Kort Sold Unsuitable, Misrepresented Investments The Financial Industry Regulatory Authority (“FINRA”) reports troubling allegations of misconduct by securities broker Frederick Maximilian Kort (CRD#: 5376727, Chicago, Illinois). Notably, four investors brought complaints or lawsuits about the securities broker, who worked for UBS Financial Services between August 2007 and May 2018 at […]

STEVEN DALE RODEMER (CRD#: 830561) a former broker who was recently listed with Stifel, Nicolaus & Co of Pueblo, Colorado, had a Securities and Exchange Commission (SEC) complaint filed against him in U.S. District Court for the District of Colorado on September 3, 2020, alleging he took money from a widowed client’s account and took […]

In a recent action taken by the Financial Industry Regulatory Authority (FINRA), a broker formerly registered with Raymond James Associates in Pittsfield, Massachusetts, JOSEPH PAUL WOITKOSKI (CRD#: 3023301) was suspended for 30 days and fined $7,500 for allegedly making discretionary trades without first getting 12 customers’ written authorizations. On August 20, 2020, according to the […]

Matthew O. Clason, a broker currently with LPL Financial and a financial advisor with Integrated Wealth Concepts, both of Glastonbury, Conneticut, was charged by the Securities and Exchange Commission (SEC) in an emergency action, with allegedly stealing hundreds of thousands of dollars from an advisory client. In a recent article in InvestmentNews, it stated that […]

Soreide Law Group has been contacted by investors who suffered financial losses through recommendations by their broker/dealers or financial advisors in the real estate investment trust, NYC REIT, formerly known as American Realty Capital New York City (NYSE: NYC). NYC REIT owns commercial real estate within the five boroughs of New York. NYC shares were […]

SW Financial Broker Douglas Leone Sanctioned Again By Financial Watchdog The Financial Industry Regulatory Authority (“FIRNA”) announced that it again sanctioned Salomon Whitney Financial securities broker Douglas A. Leone (CRD#: 2453784, Melville, New York). The watchdog’s move comes after prior infractions – all of which resulted in him being barred. Not only that, but seven […]