Soreide Law Group, based in South Florida, obtained the following information on FINRA’s website from January 2020 Disciplinary Report. MURRY MEIR SHAPERO (Also known as:  MOSHE SHAPERO, MURRAY M SHAPERO) CRD#: 1846138 Miami, Florida, currently registered with MAXIM GROUP, LLC. was issued an AWC in which MURRAY M SHAPERO was suspended from association with any […]

Kovack Investor Suggests Broker Jeffrey Davis Gave Bad Advice Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports alarming allegations of improprieties by securities broker Jeffrey Davis [CRD#: 2501354, Bristol, Connecticut]. Notably, no less than 10 clients contested the securities recommendations or sales of the securities broker, who joined Kovack Securities on November 1, 2013. […]

Cetera Investors File Disputes About Broker John Massa Investors are alleging investment losses because of Cetera Investment Services securities broker John Massa [CRD#: 2120585, Staten Island, New York]. Supposedly, the securities broker, who joined Cetera on September 8, 2010, shows 5 investor disputes on Financial Industry Regulatory Authority (“FINRA”) BrokerCheck. Notably, Cetera clients indicate that […]

SEC Bars Raymond James's Joel Burstein Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports troubling information in regard to securities broker Joel Burstein [CRD#: 3257591, Coral Gables, Florida]. Not only has the Securities and Exchange Commission (“SEC”) barred Burstein for allegedly helping to misappropriate client funds, but at least 7 clients took issue with […]

Soreide Law Group obtained the following information on FINRA’s website from the January 2020 Disciplinary Actions on the following broker:  FREDRICK MARTIN RANDHAHN (FRED RANDHAHN) CRD#: 1338801   On November 14, 2019, an AWC was issued in which FREDRICK MARTIN RANDHAHN was assessed a deferred fine of $5,000, suspended from association with any FINRA member […]

Santander Clients Take Issue With Eric Stubbe's Investment Recommendations Soreide Law Group is investigating potential investor claims of bad securities business practices by securities broker Eric Stubbe [CRD #: 1499212, Dorchester, Massachusetts]. Notably, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck reports that no less than 19 clients contested the securities recommendations or sales of the securities […]

IAA Broker Carleton Boothe Possibly Breached A Fiduciary Duty To Investors Evidently, investors are coming forward with disputes concerning securities broker Michael “Carleton” Boothe [CRD#: 2160227, Fort Lauderdale, Florida]. Apparently, the securities broker, who associated with International Assets Advisory from 2014 to 2018, reports 2 investor disputes on Financial Industry Regulatory Authority (“FINRA”) BrokerCheck. Notably, […]

Broker Margareta Childs Barred For Failing To Comply With FINRA Request Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) shows troubling information in regard to Financial West Group and Western International Securities broker Margareta Childs [CRD#: 1495891, Irvine, California]. Not only has FINRA barred the securities broker for being elusive, but at least 2 clients […]

Soreide Law Group, a Florida-based law firm, obtained the information on the following Florida broker from FINRA’s website under, “Disciplinary and Other FINRA Actions,” from January of 2020. Cody Hawkins-Fitzgerald (Also known as, CODY DOYLE HAWKINS, CODY DOYLE HAWKINS-FITZGERALD) CRD# 2506434 On November 12, 2019, FINRA issued an AWC in which Cody Hawkins-Fitzgerald was assessed […]