FINRA Investigates Whether Westpark Capital's Harry Datys Sold Unsuitable And Misrepresented Investments Soreide Law Group is reviewing potential lawsuits on behalf of investors against securities broker Harry Datys (CRD#: 1877750, New York, New York). Apparently, Financial Industry Regulatory Authority (“FINRA”) recommends disciplinary action against the securities broker, who worked for Westpark Capital from June 10, […]

Madison Avenue Broker Noel Vincent Allegedly Gave Poor Advice, Caused Investors' Losses Swarms of investors have filed disputes against securities broker Noel Ray Vincent (CRD#: 1370987, Southfield, Michigan). Namely, FINRA BrokerCheck shows an astounding 20 investor disputes involving the securities broker, who worked for Madison Avenue Securities from 2009 to 2018 and who worked for […]

Broker Rocco Roveccio Sanctioned By FINRA, SEC The Financial Industry Regulatory Authority (“FINRA”) just sanctioned First Standard Financial Company securities broker Rocco Roveccio (CRD#: 2713144, Red Bank, New Jersey). The sanctions come after SEC barred the securities broker and after 6 investors filed disputes against him. Namely, these disclosures suggest that Roveccio sold unsuitable investments […]

Title goes here The Financial Industry Regulatory Authority (“FINRA”) reports troubling allegations of misconduct by securities broker Mark Boucher (CRD#: 2187695, Carlsbad, California). Namely, on Boucher’s FINRA BrokerCheck report, there are two investor disputes indicating that he did something really bad. We can also see that two investment firms disaffiliated with him on bad terms. […]

Cetera's Ken Balser Allegedly Sells Bad Tesoro Del Alma Investments The Financial Industry Regulatory Authority (“FINRA”) reports troubling allegations of misconduct by securities broker Ken Balser (CRD#: 704053, Colorado Springs, Colorado). The former Cetera Advisors securities broker, who the firm disaffiliated with for private securities transactions, has been involved in four disputes and a pair […]

Securities Broker Curt Howard Allegedly Caused Investor Losses Soreide Law Group is reviewing whether to take legal action on behalf of investors against securities broker Curtis Lee Howard (CRD#: 1390753, Sapulpa, Oklahoma). Mainly, FINRA BrokerCheck shows that the securities broker is involved in two investment disputes. Not only that, but Edward Jones – Howard’s employer […]

GORDON TONG QUAN (GORDON QUAN) CRD#: 1326425, was formerly associated with Cetera Advisor Networks in Pasadena, California.  According to FINRA’s BrokerCheck, GORDON QUAN was discharged from Cetera Advisor Networks following allegations that, “Representative violated Firm policies related to lending money to a customer and outside business activities.”  Currently Quan is not registered as a broker […]

On July 30, 2020, the Securities and Exchange Commission (SEC) filed a complaint against Victor Lee Farias, a former broker and financial advisor, and his company Integrity Aviation & Leasing, LLC, (IAL) for running an alleged Ponzi-like scheme. The SEC alleges that from 2013 through January of 2019, Farias and his company, IAL, defrauded investors, […]

Soreide Law Group has filed a FINRA arbitration on behalf of their client (Claimant) against: AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC., and their registered representative, BRIAN JOSEPH DIBRINO (Respondents) The Claimant resides in New Jersey and recently retired from his business of 30 years. In preparation for his retirement, the Claimant had transitioned the majority of […]