Expelled Broker Dennis Murphy Allegedly Made Excessive, Unsuitable Trades Soreide Law Group is investigating whether to bring investment related complaints or lawsuits against Monmouth Capital Management securities broker Dennis James Murphy (CRD#: 4840274, Red Bank, New Jersey). Namely, FINRA issued the most severe of sanctions – a bar – to Murphy in May 2020. This […]

Spartan Capital Broker Joe Kelly Purportedly Sells Bad Private Placements Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports troubling information with regard to Spartan Capital Securities broker Joseph “Joe” Kelly (CRD#: 4560737, New York, New York). Notably, there are four investment disputes which have surfaced on Kelly’s record from 2016 to 2020. Supposedly, Kelly […]

FINRA Suspends Broker Brian Harte For Discretionary Trading Soreide Law Group provides you this update in regard to a problem securities broker by the name of Brian Joseph Harte (CRD#: 4780629, Alexandria Virginia). Notably, FINRA suspended the E1 Asset Management securities broker twice. Also, Harte is the target of four investor disputes. All together, these […]

FINRA Issues Sanction To Brian Engstrom For Unsuitable UIT Trades The Financial Industry Regulatory Authority (“FINRA”) reports troubling information in regard to Oppenheimer securities broker Brian Engstrom (CRD#: 1838926, Pensacola, Florida). Not only has the financial industry watchdog sanctioned Engstrom via a three month suspension and $5,000 fine, but Oppenheimer disaffiliated with him following allegations […]

Broker Rich Coleman Suspended By FINRA Again Soreide Law Group is examining whether to bring investor lawsuits against securities broker Richard James Coleman (CRD#: 2720422, Melville, New York). Specifically, Coleman is presently under a FINRA suspension for not paying a FINRA Arbitration Award. Not only that, but FINRA issued him a hefty two-year suspension along […]

Marshall Owen Isaacson, a former broker with Newbridge Securities of Boca Raton, Florida, was recently barred by FINRA for allegedly making unsuitable investment recommendations to his clients. According to FINRA, without admitting or denying FINRA’s findings, Marshall Owen Isaacson consented to the sanction and to the entry of findings that he allegedly refused to provide […]

Soreide Law Group files 11 FINRA arbitration claims against Mark Alan Cline and National Securities Corporation for sales of GPB Products. Eleven separate FINRA actions have been by Soreide Law Group against Mark Alan Cline (“Cline”) and National Securities Corporation (“NSC”) on behalf of multiple retirees living in the Villages, Florida. The lawsuits collectively claim […]

Private Offerings and REITs May Not Be Worth What You Paid IS YOUR BROKER LYING TO YOU ABOUT THE VALUE OF THE INVESTMENTS THEY SOLD? Brokers will always list the stated value from the sponsor of most REITS and private offerings they sold you since they don’t freely trade on any market. What most clients […]

Soreide Law Group is investigating claims made against the broker/financial advisor, formerly of MERRILL LYNCH, PIERCE, FENNER & SMITH INC. Greenwich, Connecticut, and currently with RBC CAPITAL MARKETS, LLC of Stamford, Connecticut: JOSEPH IJONG CHU (CRD#: 4546805) There was a claim filed recently against Merrill Lynch and RBC Capital Markets on behalf of investors seeking […]