DOMINIC ANTHONY TROPIANO (Dominic Torpiano) CRD#: 4761462, former Cleveland, Ohio broker, has been barred by FINRA, May 9, 2019, from acting as a broker or otherwise associating with a broker-dealer firm for alleged unsuitable trading in non-traditional ETFs. According to FINRA’s report, Dominic Torpiano consented to the sanction and to the entry of findings that […]

INVESTOR ALERT: Customer Dispute About SAGEPOINT’S STEPHEN MATTHEWS Stephen Matthews (CRD#: 1878065, Dublin, Ohio) is a general securities representative of SagePoint Financial, Inc. According to Stephen Matthews’ Financial industry Regulatory Authority (FINRA) BrokerCheck Report, Stephen Matthews, who has been with SagePoint Financial, Inc. since August 16, 2013, is the subject of an investor’s dispute. Here […]

Losses From HECTOR RIVERA, ORIENTAL FINANCIAL SERVICES? Hector Rivera (CRD#: 4826616, San Juan, Puerto Rico) is an Oriental Financial Services Corp. general securities representative. Evidently, Hector Rivera joined Oriental Financial Services in its San Juan, Puerto Rico offices on January 25, 2016. However, Rivera’s suspicious sales practices have become a cause of concern for investors. […]

INVESTOR ALERT: Customer Complaints About CENTAURUS FINANCIAL, CINDY CHIELLINI Cindy Chiellini (CRD#: 1015592, Lexington, South Carolina) is a Centaurus Financial Inc. financial advisor. Apparently, the securities broker, who has worked at Centaurus Financial, Inc. since May 19, 2015, reports at least twelve investor complaints between December 23, 2016 and March 18, 2019, according to FINRA […]

Investor Alert: Customer Claims Against WELLS FARGO, LEONARD KINSMAN Leonard Kinsman (CRD#: 2816535, Staten Island, New York) is presently employed as a securities broker of Wells Fargo Advisors Financial Network, LLC. According to FINRA BrokerCheck, investors reference Kinsman’s securities practices in four complaints between May 5, 1998 and October 17, 2016. Customers’ claims suggest Kinsman […]

The Financial Industry Regulatory Authority Inc. (FINRA) has ordered the broker/dealer, Buckman Buckman & Reid, based in New Jersey, to pay approximately $205,000 in restitution to seven clients for allegedly failing to supervise two of their former registered representatives who recommended excessive and unsuitable trades. Buckman, Buckman, & Reid Ordered To Pay Clients Restitution The […]

Soreide Law Group filed a FINRA arbitration on behalf of our clients (Claimants) against: CAMBRIA CAPITAL, LLC. (Respondent) The Claimants, a married couple residing in Virginia, maintained accounts with CAMBRIA CAPITAL, LLC.  The Respondent is a full-service securities broker/dealer with offices around the country. The Claimants are seeking damages from CAMBRIA CAPITAL due to the […]

ATTENTION INVESTORS: Customer Complaints Against Sagepoint Broker BRUCE SLATER Soreide Law Group is reviewing possible claims of unsuitability against Sagepoint Financial, Inc. securities broker Bruce Albert Slater (CRD#: 1547792, Northville, Michigan). Investors should take caution if investing with Slater because customers of Sagepoint and Transamerica Financial Advisors (Slater’s prior employer) filed disputes against him. For […]

Losses from NEWBRIDGE SECURITIES CORPORATION, JESSE KRAPF? Soreide Law Group is evaluating possible claims on behalf of those who invested with Newbridge Securities Corporation securities broker Jesse Krapf (CRD#: 5467277, McDonough, Georgia). Evidently, Jesse Krapf worked at the firm’s McDonough, Georgia offices between February 12, 2016 and February 21, 2019. Evidently, Financial Industry Regulatory Authority […]