Latest Securities Lawyer News

Clients Dispute Sales Practices Of Hilltop Securities Broker, Financial Advisor Mark Katz The Financial Industry Regulatory Authority (FINRA) reports that investors filed disputes concerning securities broker Mark Katz (CRD#: 3055019, San Diego, California). Evidently, Katz worked as a financial advisor and a securities broker with Hilltop Securities Inc. in San Diego, California from December 2008 […]

MARC FREDERICK KORSCH (MARC KORSCH) CRD#: 5525226, a representative previously registered both as a broker and as an investment advisor, according to FINRA’s BrokerCheck, has been in the securities industry for 12 years and has 14 Disclosures on his FINRA CRD report. Seven of the disclosures are “Customer Disputes.” The significance of Korsch’s FINRA Customer […]

Securities Broker Johnnie Jones Suspended By FINRA, Involved In Investor Disputes Soreide Law Group has new information to share with you concerning securities broker Johnnie Melvin Jones (CRD#: 2705042, Syosset, New York). Evidently, Jones worked for National Securities Corporation (2013 to 2016) and Network 1 Financial Securities Inc. (2016 to 2021). According to Financial Industry […]

FINRA Suspends TCM Securities Broker Michael Pellegrino, And TCM Investors File Disputes About Him Financial Industry Regulatory Authority (FINRA) BrokerCheck contains important information regarding Taylor Capital Management (TCM) securities broker Michael August Pellegrino (CRD#: 5900843, Oakbrook Terrace, Illinois). Namely, on January 6, 2021, FINRA suspended him for a period of two months. During that period, […]

Oppenheimer Investors File Disputes Alleging Sales Practice Violations By Securities Broker Jeffrey Warren Soreide Law Group provides you with the following update regarding securities broker Jeffrey Warren (CRD#: 2707969, Boca Raton, Florida). It appears that as of May 28, 2021, FINRA barred Warren from acting as a securities broker or associating with a FINRA-member firm. […]

Securities Broker William Friedman (Newbridge, Woodstock Financial) Discloses FINRA Suspension, Investor Disputes Soreide Law Group has new information to share with you concerning securities broker and financial advisor William Sidney Friedman (CRD#: 2475502, Boca Raton, Florida). Evidently, Friedman worked for securities firms Newbridge Securities Corporation (2007 to 2017), Woodstock Financial Group (2017 to 2019) and […]

Securities Broker Robert Barnard Is Barred By FINRA And Is Facing Disputes From Principal Securities Clients Soreide Law Group comes to you with important information regarding securities broker and financial advisor Robert Barnard (CRD#: 5504882, Las Cruces, New Mexico). Notably, the Financial Industry Regulatory Authority (FINRA) barred Barnard to settle allegations that he violated FINRA […]

Transamerica Investors File Disputes About Barred Securities Broker Narinder Singh Soreide Law Group has important information to share with you regarding securities broker Narinder Kaur Singh (CRD#: 3100308, Sacramento, California). Evidently, Singh worked for Transamerica (2016), ProEquities (2016 to 2017) and Farmers Financial Solutions (2018 to 2019). According to a regulatory action dated August 28, […]

JAMES ROBERT REYNOLDS (also known as JIM REYNOLDS) CRD#: 4408485, who is currently registered as a broker and financial advisor with NORTHLAND SECURITIES, INC. and NORTHLAND ASSET MANAGEMENT in Minneapolis, Minnesota since 2002, and 2008 respectively, has had two customer complaints, according to his FINRA BrokerCheck  CRD report. In June of 2016, a customer dispute […]