FINRA Bars Merrill Lynch's Jose 'Tomas' Giraldo Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports troubling information in regard to securities broker Jose "Tomas" Giraldo [CRD#: 5429476, Chula Vista, California]. Notably, FINRA barred the securities broker, who worked for Merrill Lynch from October 15, 2013 to April 6, 2018. Previously, Merrill Lynch disaffiliated with […]

Newport, Paulson Investors Suggest Broker John Tarpinian Breached Fiduciary Duty Soreide Law Group is investigating potential investor claims against securities broker John Tarpinian [CRD#: 1013555, New York, New York]. Notably, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck shows that 12 clients contested securities recommendations or sales made by Tarpinian, who associated with Newport Coast Securities (“Newport”) […]

JOHN HOFF RUSSELL (CRD#: 728702), according to the FINRA report, was named in a customer complaint that asserted the following causes of action: breach of fiduciary duty, fraud, securities fraud, negligence, conspiracy, material misrepresentations and omissions, and violation of FINRA Rules 3110, 3120, and 3130. A Financial Industry Regulatory Authority Inc. (FINRA) arbitration panel awarded […]

Cantone Research CEO Anthony Cantone Willfully Defrauded Investors, FINRA Finds Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports alarming issues concerning Cantone Research CEO Anthony Cantone [CRD#: 1066139, Eatontown, New Jersey]. Not only has FINRA suspended the securities broker for committing securities fraud, but 5 clients brought disputes against him. Mainly, these disclosures suggest […]

Centaurus Broker Cindy Chiellini Allegedly Causes Investor Losses On Bad Real Estate Securities Transactions Soreide Law Group is reviewing potential investor disputes against Centaurus Financial securities broker Cindy Porto Chiellini [CRD#: 1015592, Lexington, South Carolina]. Notably, Colorado Division of Securities filed an enforcement action against Chiellini for her allegedly unsuitable and dishonest sales practices. Also, […]

Soreide Law Group obtained the following information on FINRA’s website on the former broker Randy T Carpen under, “Disciplinary and Other FINRA Actions, March 2020.” FINRA has barred Randy T Carpen (Also known as R T Carpen, Ramsey Capen, Randy Carpen) (CRD #2469877, Fort Lauderdale, Florida) from acting as a broker or otherwise associating with […]

Your Securities Broker Or Financial Advisor Might Have Caused Your Coronavirus (Covid-19) Related Investment Losses Soreide Law Group is examining potential lawsuits on behalf of investors against their brokers, financial advisors and respective financial institutions who possibly advised those investors to purchase unsuitable or misrepresented investments that have since plummeted in value because of the […]

Principal Securities Broker John Priebe Involved In Investors' Suitability Disputes Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports alarming information in regard to John Patrick Priebe Jr. [CRD#: 4389063, Waseca, Minnesota]. Not only has Principal Securities disaffiliated with the securities broker for potential sales practice violations, but at least three clients indicated that Priebe […]

Soreide Law Group, based in Pompano Beach, Florida, obtained the following information from FINRA’s website under, “Disciplinary and Other FINRA Actions, March 2020.” Antonio Gutierrez Puente (Also known as: Antonio G Puente, Tony Puente) (CRD #2695224, Delray Beach, Florida) According to FINRA’s website, an Acceptance, Waiver and Consent (AWC) was issued in which Antonio Gutierrez […]