Latest Securities Lawyer News

TRAVIS J LIPPMANN (TRAVIS JUSTIN LIPPMANN) CRD#: 5908823, currently of JOSEPH STONE CAPITAL L.L.C. of New York, NY., according to FINRA’s BrokerCheck which is available to the public on FINRA’s website, has 3 disclosures on his FINRA CRD report.  All three of the disclosures are “Customer Disputes.”  The customer dispute filed in 2017 was denied.  […]

Securities Broker Mitchell Silverman Facing Disputes From Raymond James Clients Soreide Law Group has new information to share with you in regard to securities broker Mitchell Louis Silverman (CRD#: 500504, Boca Raton, Florida). Notably, the Financial Industry Regulatory Authority (FINRA) shows that six investors filed investment disputes about the securities broker, who worked for securities […]

Soreide Law Group obtained the following information from FINRA’s website under, “Disciplinary and Other FINRA Actions – August 2021.” Scott S Niekamp (CRD #3277810, Wildwood, Missouri) On June 9, 2021, an AWC was issued in which Scott S Niekamp was fined $10,000 and suspended from association with any FINRA member in all capacities for three […]

Soreide Law Group obtained this information on the following firm from FINRA’s website under, “Disciplinary and Other FINRA Actions – August  2021.” JTA Securities Management, Inc. dba Titan Securities (CRD #131392, Addison, Texas) On June 8, 2021, FINRA issued an Acceptance, Waiver, and Consent (AWC) in which JTA Securities Management dba Titan Securities was censured […]

Raymond James Broker Ronald Cameron Sanctioned, Involved In Investor Dispute The Financial Industry Regulatory Authority (“FINRA”) reports that it has sanctioned securities broker Ronald Patrick Cameron (who goes by R. Patrick Cameron) (CRD#: 2551641, Fayetteville, Arkansas). Notably, in April 2021 FINRA issued Cameron a five-week suspension and a $5,000 fine. This resolved FINRA’s allegations that […]

Wells Fargo, SunTrust Investors File Disputes About Securities Broker Raul Benitez The Financial Industry Regulatory Authority (FINRA) discloses through BrokerCheck that investors filed disputes about securities broker Raul Jorge Benitez (CRD#: 4457185, Aventura, Florida). Particularly, four investors filed complaints, and allegations in one or more of them include misrepresentation and suitability. Here’s more on these […]

Soreide Law Group Reviewing Possible Investor Claims Relating To Parking REIT Soreide Law Group is investigating possible investor claims against financial advisors and securities brokers relating to their recommendations and sales of investments in Parking REIT. Notably, SEC filed a lawsuit against an executive of Parking REIT, Michael Shustek, who owns Vestin Mortgage LLC. Coupled […]

Stoever Glass, HJ Sims Clients File Disputes About Securities Broker Adam Goodman Soreide Law Group is looking into bringing potential investor lawsuits alleging misconduct against securities broker Adam Craig Goodman (CRD#: 2263780, Boca Raton, Florida). It appears that seven investors have disputed the sales practices of the securities broker, who worked for firms Herbert J. […]

Broker Dustin Blount Barred By FINRA And Involved In An MML Investor's Dispute Soreide Law Group has important information to share with you regarding securities broker Dustin Michael Blount (CRD#: 5267680, Vicksburg, Mississippi). Specifically, it appears on BrokerCheck that in addition to him being discharged for alleged misconduct, the broker is the subject of criminal […]