Latest Securities Lawyer News

CHRISTOPHER THOMAS ERIKSSON (CRD#: 2487298) was previously registered as a broker with Merrill Lynch, Pierce, Fenner & Smith, Incorporated of Wayzata, Minnesota from 01/14/2005 - 11/18/2020. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, CHRISTOPHER THOMAS ERIKSSON has been listed in the securities industry for 26 years. He is not currently listed.  […]

On October 7, 2021, ERIC SHEA HOLLIFIELD (ERIC S HOLLIFIELD) was barred by the Financial Industry Regulatory Authority (FINRA).  Hollifield was previously registered both as a broker and as an investment advisor.  He was formerly registered as a broker with LPL FINANCIAL LLC OF Dacula, Georgia from 10/14/2016 - 09/10/2021. According to the FINRA report, […]

Did your broker sell you JPMorgan Chase Linked Notes to XOP – Cusip 48132C4L4 JP Morgan offers structured investments and some investors may not fully appreciate their risks. Structured products can offer enhanced return but brokers often times downplay the risks when the underlying linked asset fails to perform. One product we are investigating is […]

Morgan Stanley Disaffiliates With Securities Broker Robert Mitchell Following Client Disputes Soreide Law Group has important information to share with you regarding securities broker Robert Lynn Mitchell (CRD#: 1523211, Frisco, Texas). Namely, Morgan Stanley, who employed Mitchell from June 2009 to February 2021, disaffiliated with him for alleged outside business activities. Not only that, but […]

Securities Broker Arieh Israel Barred By FINRA, Facing NYLife Client Complaint Notably, FINRA barred securities broker Arieh Israel (CRD#: 6481347, New York, New York) as a securities broker to resolve allegations of misuse of investor funds. Not only that, but Israel, who worked for NYLife Securities from October 2016 to February 2020, is facing investor […]

NBC Clients Allege Misrepresentation, Unsuitable Trading In Disputes About Securities Broker Marcello Lattuca Soreide Law Group has news to share with you regarding the Financial Industry Regulatory Authority (FINRA) BrokerCheck disclosures of securities broker Marcello Lattuca (CRD#: 2149434, Massapequa, New York). Namely, four investors disputed Lattuca’s sales practices, and clients brought three disputes in 2020. […]

Soreide Law Group, based in South Florida, is currently investigating brokers/financial advisors who, through SunTrust (now Truist), sold Northstar Financial Services (Bermuda) Ltd. to their clients. Soreide Law Group has four lawsuits against SunTrust due to the of the sale of Northstar Financial Services (Bermuda) Ltd. One of the brokers we are investigating is: RAUL […]

Cetera Advisors Clients Take Issue With Securities Broker Dan McPherson's Sales Practices Important information is reported on Financial Industry Regulatory Authority (FINRA) as it relates to securities broker Daniel George McPherson ("Dan McPherson") (CRD#: 4964802, Idaho Falls, Idaho). Specifically, three investors filed disputes about the securities broker, who worked for Cetera Advisors LLC (2012 to […]

Wynston Hill Investor Takes Issue With Robert Calamunci's Sales Practices Financial Industry Regulatory Authority (FINRA) BrokerCheck shows that a Wynston Hill Capital LLC client took aim at the sales practices of securities broker Robert Joseph Calamunci Sr. (CRD#: 1618899, Bronx, New York). In addition, FINRA and the National Association of Securities Dealers (NASD) both sanctioned […]