Latest Securities Lawyer News

Broker Robert Ginsberg Might Have Recommended Bad Alternative Investments The Financial Industry Regulatory Authority (“FINRA”) reports troubling information in regard to securities broker Robert “Bob” Scott Ginsberg (CRD#: 5177531, Wallingford, Connecticut). Notably, the securities broker, who worked for Investors Capital Corp (2008 to 2016) and Woodbury Financial Services (2016 to present), is involved in at […]

On January 29, 2021, Manish Shah (MANISH H SHAH,MANISH HEMANT SHAH) CRD#: 4652835 a broker formerly with Northwestern Mutual Investment Services of Princeton, New Jersey, has been suspended by FINRA for 20 months, beginning February 1, 2021 and ending on September 30, 2022.  He was also fined $15,000.00 by FINRA. Without admitting or denying FINRA’s […]

Soreide Law Group (888-760-6552) obtained the following information on FINRA’s website under, “Discipinary and Other FINRA Actions, January 2021” on the former National Securities Corporation of New York, broker: Joseph Victor Alhadeff (CRD #2938087, Miami Beach, Florida). On November 27, 2020, an Acceptance, Waiver, and Consent (AWC) was issued in which Joseph Victor Alhadeff was […]

Soreide Law Group, obtained the following information on FINRA’s website listed with the January 2021 Disciplinary Actions on the broker: Brett Stephen Briggs (CRD #1226255, Calabasas, California). On November 17, 2020,  an Acceptance, Waiver and Consent (AWC) was issued in which Brett Stephen Briggs was barred from association with any FINRA member in any principal […]

TYLER DEAN DELAHUNT (TYLER DELAHUNT, CRD#: 4419594), formerly with Merrill Lynch of Atlanta, Georgia, was barred by FINRA on January 25, 2021, from acting as a broker or otherwise associating with a broker-dealer firm. Delahunt was previously registered both as a broker and as an investment advisor. Without admitting or denying FINRA’s findings, TYLER DELAHUNT […]

Securities Broker Damian Bell In Hot Water Over Alternative Investment Disputes The Financial Industry Regulatory Authority (FINRA) reports troubling information in regard to securities broker Damian Marlon Bell (CRD#: 2348521, Daphne, Alabama). Notably, the securities broker, who worked for firms including International Assets Advisory, International Assets Investment Management, and WFG Investments, has been targeted by […]

GARY WAYNE HAMMOND (GARY W HAMMOND, GARY HAMMOND) CRD#: 2660432, a broker formerly with MML Investors Services of Charlotte, North Carolina, was barred by FINRA due to allegations that he didn’t notify his firm about private security transactions. On January 19, 2021, without admitting or denying FINRA’s findings, GARY WAYNE HAMMOND consented to the sanction […]

Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: COMMONWEALTH FINANCIAL NETWORK (Respondent). The Claimant resides in Arizona and has maintained an investment relationship with the Respondent through the Kevin Dick Group. COMMONWEALTH FINANCIAL NETWORK and its representatives were allegedly made aware that the Claimant did not want to […]

Soreide Law Group obtained the following information from FINRA’s website regarding the Wisconsin broker/financial advisor: MICHAEL FRANCIS SHILLIN (MIKE SHILLIN CRD#: 5927156)  On December 21, 2020, MICHAEL FRANCIS SHILLIN was barred by FINRA from acting as a broker or otherwise associating with a broker-dealer firm. He was previously registered both as a broker and as […]