SEAN DONALD PREMOCK (CRD#: 3175558), a former Fort Lauderdale, Florida, broker/investment advisor, was sentenced to 10 years in prison for defrauding investors out of more than $1 million. On August 25, 2020, a U.S. District Judge sentenced SEAN DONALD PREMOCK to 10 years in prison, three years of supervised release, and he is to forfeit approximately […]

Broker James Kearney Purportedly Makes Unauthorized And Unreasonable Trades The Financial Industry Regulatory Authority (“FINRA”) reports troubling allegations of misconduct by James Joseph Kearney (CRD#: 265734, Houston, Texas). Namely, Kearney violated FINRA rules on trading and faced the financial watchdog’s suspension and fine as a result. Not only that, but four investors filed disputes about […]

Clients Indicate MML Broker Charles Evan Gave Bad Advice, Misrepresented Investments Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports troubling allegations of misconduct concerning Charles Jonathan Evan (CRD#: 836083, Wellesley, Massachusetts). Namely, the securities broker, who worked for securities firms including MSI Financial Services (2015 to 2017) and MML Investors Services (2017 to 2019), […]

Spencer Winston Clients Indicate Ezri Shechter Made Unsuitable, Unauthorized Trades Soreide Law Group is investigating possible claims against Ezri Shechter (CRD#: 2772177, Jersey City, New Jersey). Namely, the securities broker, who worked for Spencer Winston from 2004 to 2020, reports investor disputes about his sales practices. Not only that, but Financial Industry Regulatory Authority (“FINRA”) […]

Soreide Law Group, a Florida-based law firm, has filed a FINRA arbitration on behalf of their client (Claimant) against: CETERA ADVISORS LLC (Respondent). The Claimant is a widow residing in Florida. The Claimant maintained accounts with the Respondent and its former Financial Advisor, CHARLES EDWARD KRSEK (CHUCK KRSEK).  Krsek is not named in this lawsuit. […]

FINRA Bars America Northcoast's Christopher Barone Soreide Law Group wants you to be aware that securities broker Christopher Richard Barone (CRD#: 2032268, Houston, Texas) – the CEO and COO of America Northcoast Securities – is disqualified from being a FINRA broker effective January 23, 2020. Notably, FINRA barred Barone for misrepresenting his supervision of trade […]

Soreide Law Group, a South Florida-based law firm, has been contacted by investors who have allegedly suffered losses due to the recommendations of the AEGIS CAPITAL CORP. of Miami broker/investment advisor: RICK ALAN DAVIDSON (CRD#: 1315998) According to FINRA’s BrokerCheck, available to the public on FINRA’s website, RICK ALAN DAVIDSON, has been registered in the […]

On August 20, 2020, the Financial Industry Regulatory Authority (FINRA) suspended, Stephen Paul Florio, a former Raymond James of Ft. Lauderdale, broker/financial advisor for 10 business days and fined him $5,000.  Stephen Paul Florio is currently listed with Cambridge Investment Research, Inc. of Ft. Lauderdale, Florida. Florio’s suspension begins September 21, 2020 and ends October […]

LPL Broker James Booth Defrauds, Steals From Clients Soreide Law Group provides this latest update surrounding a problem securities broker by the name of James Thomas Booth (CRD#: 1906145, Norwalk, Connecticut). Notably, Financial Industry Regulatory Authority (“FINRA”) reports that 36 investors – including LPL Financial and Investment Financial Corporation clients – brought lawsuits or complaints […]