Broker Chris Kubiak Barred By SEC After Pleading Guilty To Wire Fraud Soreide Law Group is reviewing possible investor claims against securities broker Chris Kubiak [CRD#: 1527367, Brookfield, Wisconsin]. Apparently, the Securities and Exchange Commission (“SEC”) barred the securities broker pursuant to Order 3-19345. Notably, Kubiak pled guilty to at least 1 count of wire […]

Investors Suggest Joseph Gunnar CEO Joseph Alagna Failed To Supervise Investors have come forward with complaints about securities broker Joseph Alagna Jr. [CRD#: 1840339, New York, New York]. Apparently, the securities broker, who currently serves as Chief Executive Officer of Joseph Gunnar, discloses 3 investor disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Apparently, Joseph […]

RBC Broker Dan Peltier Fined, Suspended For Stock Manipulation Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports troubling allegations of sales practice violations by RBC Capital Markets securities broker Dan Peltier [CRD#: 2677761, Stillwater, Minnesota]. Not only has FINRA sanctioned the securities broker, but at least 3 clients disputed his sales practices. Altogether, these […]

Did you buy "Regional Healthcare Properties Preferred Stock" from Stephen Brandon Anderson of North Carolina? Soreide Law Group, and their co-counsel Kyros Law, have filed a FINRA arbitration claim seeking damages on behalf of investors in Regional Healthcare Properties Preferred Stock through Stephen Brandon Anderson (Mr. Anderson was not named as a party in this […]

Santander Securities' Jaime Echandi Allegedly Sold Bad Puerto Rico Bonds And Funds The Financial industry Regulatory Authority (“FINRA”) reports myriad investors disputing the sales practices of former Santander Securities LLC broker Jaime Echandi (aka “Jaime Santiago”) (CRD#: 2464033, Guaynabo Puerto Rico). Specifically, his BrokerCheck report shows that 23 investors complained since 2014, with most disputes […]

Purshe Kaplan, FINRA Investigate Brian Bogart For Involvement In Private Fund Soreide Law Group is reviewing possible investor disputes against securities broker Brian Bogart (CRD#: 1186538, McLean, Virginia). Notably, Bogart’s Financial Industry Regulatory Authority (“FINRA”) BrokerCheck profile discloses two regulatory events, two bad employment breakups, and at least twelve client disputes. Here’s a brief summary […]

National Securities Corp Clients Indicate Thomas Kelly Made Unauthorized Trades Investor disputes are piling on for securities broker Thomas Kelly (CRD#: 2877415, New York, New York). Specifically, Financial industry Regulatory Authority (“FINRA”) shows that no less than 13 investors disputed Kelly’s sales practices. Notably, these investor disputes, which primarily come from clients of National Securities […]

Did Broker Mark Barrand Sell You Bad Annuities The Financial Industry Regulatory Authority (“FINRA”) reports troubling allegations of sales practice violations by securities broker Mark Barrand (CRD#: 4586528, Lone Tree, Colorado]. Specifically, 5 clients brought disputes to challenge Barrand’s recommendations or trading. These disputes suggest that Barrand provided bad investment advice and was responsible for […]

Investors Dispute Broker Donald Padilla's Annuity Sales Soreide Law Group is evaluating potential investor claims of sales practice violations against Donald Padilla (CRD#: 3053711, Alhambra, California). Namely, the securities broker, who worked for Kestra investment Services LLC (2015 to 2018) and National Securities Corporation (2018), reports 3 client disputes, 2 bad employment separations and even […]