DANIEL MAUGHAN Charged In FINRA Complaint Alleging Churning, Excessive Trading FINRA Department of Enforcement filed a Complaint against Financial West Group securities broker Daniel Maughan (CRD#: 2561363, Los Angeles, California). The Complaint, dated August 14, 2019, alleges that Maughan, who worked for Financial West Group from 2010 to 2017, violated securities laws and FINRA rules […]

Did Morgan Stanley's Daniel Reilly Cause Your Investment Losses? FINRA BrokerCheck reports troubling allegations against Morgan Stanley securities representative Daniel Reilly (CRD#: 4752371, New York, New York). Specifically, the securities broker, who worked for Morgan Stanley from February 20, 2015 to June 15, 2018, discloses two clients disputes which settled through payments to them, and […]

FINRA Issues Default Decision Barring Farid Morim The Financial Industry Regulatory Authority (“FINRA”) announced on February 23, 2018 that it barred J.P. Morgan Securities broker Farid Morim (CRD#: 5023477, Beverly Hills, CA). Evidently, a FINRA Hearing Officer issued a Default Decision on January 26, 2018, finding Morim violated FINRA Rules 8210 and 2010 when he […]

Soreide Law Group has filed a FINRA arbitration on behalf of their client (Claimant) against, REID & RUDIGER LLC (Respondent). The Claimant, is in his late seventies, and resides in Colorado.  The Claimant brought this action to recover the investment losses due to the alleged actions of REID & RUDIGER. Allegedly, the Respondent implemented an […]

Soreide Law Group, based in South Florida, has filed a FINRA arbitration on behalf of their client (Claimant) against, LPL FINANCIAL LLC (Respondent).  The Claimant, who resides in Florida, maintained an investment relationship with LPL FINANCIAL and their Financial Advisor, SAMUEL IZAGUIRRE (CRD#: 4835113). The lawsuit alleges that the Claimant advised the Respondent that he […]

GREGORY DEAN Barred by FINRA On August 15, 2019, the Financial Industry Regulatory Authority (“FINRA”) barred Worden Capital Management LLC securities broker Gregory Dean (CRD#: 4922996, Rockville Centre, NY) for unsuitable trading and churning. Evidently, Dean, a general securities representative and securities principal who worked for brokerages including Worden Capital Management (2014 – 2019) and […]

Soreide Law Group has filed a FINRA arbitration on behalf of their client (Claimant) against, AEGIS CAPITAL CORP (Respondent).  The Claimant is a retiree living in Colorado. The Claimant brings this action to recover the losses allegedly experienced due to AEGIS CAPITAL CORP and its former financial advisor, TARIQ MUHAMMED SALES (Also known as: TARIQ […]

Soreide Law Group has filed a FINRA arbitration on behalf of their clients (Claimants) against: KALOS CAPITAL, INC. (Respondent).   The Claimants are a married couple living in Virginia.  According to the lawsuit, the Claimants met in 2016 with KALOS CAPITAL brokers, to discuss retirement planning. The Claimants were looking for a moderate risk investment […]

Suffer Investment Losses From CHRISTOPHER TOLMACS? Soreide Law Group is evaluating possible investor claims against Triad Advisors securities broker Christopher Tolmacs (CRD#: 4648724, Portage, Michigan). It appears from Tolmacs’ Financial Industry Regulatory Authority (“FINRA”) BrokerCheck Report that he may have sold inappropriate and unsuitable alternative investments to clients. Furthermore, Tolmacs discloses three regulatory actions, one […]