Latest Securities Lawyer News

Soreide Law Group obtained the following information from FINRA’s June 2021 Disciplinary report on broker: Joseph Albert Ambrosole (CRD #5732488, Staten Island, New York) On April 7, 2021, an Acceptance, Waiver, and Consent (AWC) was issued in which Joseph Albert Ambrosole was fined $5,000, suspended from association with any FINRA member in all capacities for […]

Broker Todd Micciche (CUNA Brokerage Services) Involved In Investor Dispute Investment loss recovery counsel at Soreide Law Group provide you with this update in regard to securities broker Todd Douglas Micciche (CRD#: 4740375, Portland, Oregon). It appears that Micciche worked for Key Investment Services LLC from 2011 to 2015 as financial advisor and securities broker. […]

Lek Securities Corporation's Sam Lek Involved In Investor Dispute The Financial Industry Regulatory Authority (“FINRA”) reports a new investor dispute regarding securities broker Samuel Frederik Lek (CRD#: 1642936, New York, New York). It appears that two investor disputes have been filed against the securities broker since March 2019. Not only that, but securities regulators have […]

Soreide Law Group, based in South Florida, obtained the following information on the Florida broker from FINRA’s June, 2021, Disciplinary Report: Michael Joseph Dellaporta Jr. (CRD #500214, Ft. Lauderdale, Florida) On April 14, 2021, an Acceptance, Waiver and Consent (AWC) was issued by FINRA in which Michael Joseph Dellaporta Jr. was barred from association with […]

Cantella, Voya and LPL Clients File Investor Disputes About Broker Jim Joly Investment loss recovery counsel at Soreide Law Group is looking into possible investor claims concerning James Ernest Joly (CRD#: 2193463, East Greenwich, Rhode Island). Evidently, the Financial Industry Regulatory Authority (“FINRA”) shows through BrokerCheck that the securities broker, who has worked at Cantella […]

Investors File Suitability Disputes About AISG Securities Broker Thomas Logue According to BrokerCheck, the Financial Industry Regulatory Authority (“FINRA”) database on securities brokers, there are important things you should know concerning Thomas Joseph Logue (CRD#: 1700554, Hinsdale, Illinois). The securities broker, who worked for American Independent Securities Group LLC (“AISG”) from 2014 to 2017, is […]

Alexander Capital's Barry Eisenberg Sanctioned By SEC, Involved In Disputes Alleging Failure To Supervise Investors have come forward to dispute the sales practices of securities broker Barry Todd Eisenberg (CRD#: 2313107, New York, New York). Specifically, FINRA shows that two investors – clients of JP Turner and Alexander Capital – filed disputes. Secondly, United States […]

FINRA Bars Securities Broker David Martirosian Following Investigation The Financial Industry Regulatory Authority (“FINRA”) disclosed that it barred (expelled) David Martin Martirosian (CRD#: 5261144, New York, New York). Namely, the securities broker, who worked for Joseph Stone Capital from July 2016 to April 2021, and who worked for firms who FINRA expelled, agreed to a […]

Former Minnesota broker/financial advisor, ISAIAH L GOODMAN (CRD#: 6011060), was sentenced in federal court recently to over seven years in prison after he was convicted in a mail fraud scheme.  After he completes his prison sentence, Goodman will then have three years of supervised release, in addition he also has to forfeit his equity in […]