Latest Securities Lawyer News

Northwestern Mutual Client Files Dispute About Chad Mackland The Financial Industry Regulatory Authority (“FINRA”) reports troubling information about securities broker Chad Mackland (CRD#: 4933804, Council Bluff, Iowa). Apparently, a client of Mackland’s at Northwestern Mutual investment Services sued over his sales practices. In addition, Mackland’s Omaha, Nebraska employers – MassMutual and Northwestern – both have […]

Broker John Fulton Supposedly Misrepresented Investments To UBS Clients Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) shows that four or more investors brought complaints or lawsuits against securities broker John Seiberling Fulton (CRD#: 2481439, West Palm Beach, Florida). Apparently, these investors suggest that Fulton, who has worked for UBS Financial Services since 2002, caused […]

FINRA Bars Peter Ianace For Violating FINRA Rules The Financial Industry Regulatory Authority (“FINRA”) reports troubling information in regard to securities broker Peter V. Ianace (CRD#: 3238078, Plano, Texas). Significantly, the financial industry watchdog took away Ianace’s ability to be a securities broker for a FINRA firm, which includes nearly all major securities firms in […]

FINRA Bars Lenny Kinsman For Failing To Testify, Produce Information Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) barred Leonard “Lenny” Kinsman (CRD#: 2816535, Staten Island, New York) from being a securities broker for violating FINRA rules. In addition, Kinsman’s clients brought investment disputes which raise questions about whether Kinsman may have misrepresented information to […]

Broker Scott Reed Possibly Recommended Bad Investments To Wells Fargo Clients The investment loss recovery lawyers at Soreide Law Group are investigating allegations of sales practice violations voiced by clients of Scott Reed (CRD#: 3007033, Scottsdale, Arizona). Apparently, Wells Fargo Clearing Services – the firm who he worked for from 2016 to 2020 – accepted […]

Soreide Law Group has filed many claims from clients, and continues to do so, who have suffered devastating losses in New York City REIT Inc. (NYC), recommended by their brokers/dealers or financial advisors. NYC REIT is managed by the Nicholas Schorsch partnership, AR Global. NYC REIT has taken a huge hit in the weeks since […]

Broker Steve Colacurcio Suspended By FINRA Soreide Law Group provides you this investor alert in regard to securities broker Steven Colacurcio (CRD#: 1717483, Boca Raton, Florida). Notably, FINRA reports that the securities broker, who joined Dawson James Securities in 2009, faced a suspension for making bad trades. Not only that, but Colacurcio has racked up […]

FSC Securities Clients Take Aim At Frank Briseno For Bad REITs FINRA discloses troubling information in regard to securities broker Frank Briseno (CRD#: 1177246, Metairie, Louisiana). Notably, the regulator indicates that Briseno has been targeted by at least three investors in disputes about his sales practices. It seems that Briseno might have caused clients' losses […]

FINRA Charges Broker Jim Flower With Churning, Excessively Trading The Financial Industry Regulatory Authority (“FINRA”) reports troubling allegations of misconduct by securities broker Jim Flower (CRD#: 2817701, Garden City, New York). Notably, FINRA filed an enforcement action against Flower for alleged sales practice violations including unsuitable recommendations and churning. Not only that, but at least […]