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March 2, 2024
Spartan Broker Joao Pinto Sanctioned And Involved In Investor Dispute

Soreide Law Group is reviewing potential investor claims on behalf of individuals who incurred losses from securities broker Joao Amorim Pinto [CRD: 6298233, New York, New York]. Pinto has worked for Spartan Capital Securities LLC since October 22, 2019. Read below to learn more about Pinto’s disclosures, which include FINRA sanctions and an investment dispute. […]

March 1, 2024
Jeffrey Russell Suspended By FINRA, Involved In Client Disputes

Investors potentially experienced investment losses through securities broker Jeffrey Allen Russell (also known as Jeffrey Russell and Jeffrey Russell) [CRD: 2516610, Newport Beach, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Russell was previously registered with Morgan Stanley from May 19, 2010, to June 16, 2021. To understand more about Russell's […]

March 1, 2024
Gianluca De Berardinis Suspended By FINRA

Soreide Law Group is investigating possible investor claims on behalf of those who incurred losses through securities broker Gianluca De Berardinis (also known as Gianluca DeBerardinis) [CRD: 4893776, New York, New York]. Evidently, De Berardinis worked with Morgan Stanley from February 4, 2014, to July 20, 2023. Continue reading to discover more about the allegations […]

February 29, 2024
Forrest Wester Barred By FINRA, Involved In Wells Fargo Client Disputes

Some investors have potentially experienced damages because of securities broker Forrest Addington Wester (also known as Forrest Wester) [CRD: 2559502, Midland, Texas], according to regulatory sanctions and investor disputes disclosed on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Wester was previously registered as a financial advisor and securities broker, with his last registration at Wells […]

February 29, 2024
Eduardo Martinez Disclosed Regulatory Sanctions, PHX Client Disputes

Investors may have incurred losses due to the actions of securities broker Eduardo Andrew Martinez (also known as Andrew Martins and Andrew E. Martin) [CRD#: 5950799, Stamford, Connecticut], according to disclosures of regulatory sanctions and investor disputes on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Martinez joined Merrill Lynch Pierce Fenner Smith Incorporated on October […]

February 28, 2024
CHARLES V MALICO Fined and Suspended by FINRA

The Financial Industry Regulatory Authority (FINRA) has suspended and fined a former NETWORK 1 FINANCIAL SECURITIES of Huntington Station, New York, broker with violating Regulation Best Interest (Reg BI) for excessive trades in a client’s account. CHARLES VINCENT MALICO (CHARLIE MALICO, CHARLES V MALICO) was suspended for six months and ordered to pay a $5,000 […]

February 28, 2024
Donald DePiro Facing Client’s Unauthorized Trading Complaint

Investors might have faced financial losses due to securities broker Donald DePiro [CRD: 3095140, Melville, New York], as indicated by disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. DePiro joined UBS Financial Services Inc. in Melville, NY, on February 18, 2021. Prior to this, he worked for Merrill Lynch Pierce Fenner Smith Incorporated in Riviera […]

February 28, 2024
Clifton Smith Linked To Investors’ Unsuitable Annuity Disputes

Investors may have faced losses due to Clifton Brent Smith [CRD: 2658251, Atlanta, Georgia], based on disclosures found on the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Smith, a financial advisor and securities broker regulated by FINRA, joined Raymond James Associates Inc. in Atlanta, Georgia, on November 7, 2023. Prior to this, his career included stints […]

February 27, 2024
Tory Duggins Suspended By FINRA For Excessive Trading At Spartan Capital

Investors may have encountered financial setbacks due to the actions of Tory Duggins [CRD: 4556340, New York, New York], based on disclosures found on the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Duggins was previously registered with Spartan Capital Securities LLC in New York, NY, from February 29, 2016, to January 31, 2024. Read on […]

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