FINRA Issues Sanctions To Financial West Group's Sara Ng The Financial Industry Regulatory Authority (“FINRA”) reports troubling allegations of sales practice violations by Financial West Group securities broker Sara Ng (CRD#: 2701165, New York, New York). Not only has FINRA issued Ng a $5,000 fine and a suspension in December 2018 for making misleading and […]

SEC Contemplating Barring ERNEST ROMER The Securities and Exchange Commissions issued an Order February 22, 2019 commencing administrative proceedings to determine whether to bar securities broker Ernest Romer III (CRD#: 2311741, Shelby Township, Michigan). Evidently, SEC initiated these proceedings due to Romer’s criminal conviction on 13 counts of embezzlement. Here's more on the alarming allegations […]

DARIO SUAREZ Losses? Soreide Law Group is investigating possible investor claims against UBS Financial Services securities representative and sales supervisor Dario Suarez (CRD#: 1143417, Ponce, PR). Alarmingly, FINRA BrokerCheck reports 72 investor claims regarding Suarez’s sales practice violations. Investors brought a steadily increasing amount of disputes against Suarez since 2014 regarding unsuitable Puerto Rico bonds. […]

LEGEND SECURITIES' STEVEN MEYER Allegedly Churns Investors' Accounts The New Jersey Bureau of Securities announced on July 20, 2018 that it revoked the broker-dealer agent registration of Legend Securities broker Steven Meyer (CRD#: 4798400, Staten Island, New Jersey). The Order revoking Meyer’s licensure comes as a result of the Financial Industry Regulatory Authority (“FINRA”) barring […]

MARCUS E BOGGS (Marcus Boggs) (CRD#: 5055667), a 49 years-old former senior financial advisor with Merrill Lynch, was charged on August 27, 2019, with defrauding clients out of approximately $3 million. According to news reports one of the clients had received a $5 million payout for a wrongful conviction of murder and rape. Known as […]

FINRA Suspends Paulson Broker MICHAEL NIXON The Financial Industry Regulatory Authority (“FINRA”) announced August 16, 2019 that it issued a $5,000 fine and 15-day suspension to Paulson Investment Company (“Paulson”) securities broker Michael Nixon (CRD#: 2169631, Tampa, Florida). Evidently, the securities broker, who started working for Paulson beginning in December 2015, executed a Letter of […]

Soreide Law Group has filed a FINRA arbitration on behalf of their client (Claimant) against, CETERA ADVISOR NETWORKS, LLC (Respondent). Their former registered representative, David Rockwell, is not named in this lawsuit. The Claimant has been retired since 2013. He is a conservative investor who relied upon the financial guidance of his former financial advisor, […]

Losses From Robert Rotunno? The Financial Industry Regulatory Authority (“FINRA”) BrokerCheck discloses alarming allegations of sales practices violations committed by securities broker Robert Rotunno (CRD#: 4025263, New York, NY). Notably, 11 disclosures about him concern disputes from clients of Laidlaw and Company (UK) Ltd. (“Laidlaw”), where Rotunno worked from 2004 to 2016, and 1 concerns […]

Losses From MICHAEL FISHER, WELLS FARGO? Soreide Law Group is investigating possible claims on behalf of investors against prior Wells Fargo Advisors, LLC representative Michael Fisher (CRD#: 4056114, Melville, New York). Fisher, who worked for Wells Fargo from 2012 to 2016 and who since affiliated with Ameriprise Financial Services, discloses through FINRA BrokerCheck that four […]