NICOLAS BARRIOS Expelled By FINRA The Financial Industry Regulatory Authority (“FINRA”) announced it expelled UBS Financial Services Inc. securities broker Nicolas Barrios (CRD#: 2122824, Winter Haven, Florida). Evidently, Barrios – who worked for UBS as a Production Branch Manager from November 14, 2008 to May 15, 2019 – consented to the sanction of a bar […]

A jury ruled against broker, DONALD J. FOWLER (CRD#: 4989632), and in favor of the SEC recently in a Manhattan federal court.  Fowler was charged two years ago with excessive trading, while registered with the J.D. Nicholas & Associates of Syosset, N.Y. Allegedly, DONALD J. FOWLER engaged in an excessive trading scheme which was unsuitable […]

MICHAEL DAWSON Misrepresent Your Investments? The Financial Industry Regulatory Authority (“FINRA”) reports troubling allegations against Deutsche Bank Securities broker Michael Dawson (CRD#: 62907, Houston, Texas). Notably, an investor filed a complaint involving the broker, who worked at Deutsche Bank from August 30, 2013 to December 22, 2015. Here’s more about the investor’s claim which suggests […]

Timothy Wright Losses? Soreide Law Group is reviewing whether investors suffered losses due to possible sales practice violations by Columbus Advisory Group, Ltd. broker Timothy Wright (CRD#: 4714431, Wilmington, NC). Namely, at least one client brought a dispute in regard to Wright’s conduct. Here’s more on the disciplinary action which alleges Wright's churning, excessive trading […]

Soreide Law Group is investigating, and a recent FINRA arbitration has been filed on behalf of the clients (Claimants) against LPL FINANCIAL LLC (Respondents). The Claimants reside in Texas, and bring the lawsuit to recover the financial losses the suffered due to the alleged mishandling of the Claimants’ assets by failing to properly allocate and […]

JOHN MORABITO Give You Unsuitable Advice? If you invested through Merrill Lynch securities broker John Morabito (CRD#: 4651112, Alpharetta, Georgia), he possibly gave you bad advice. Particularly, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck shows that at least one client complained about his sales practices. Here’s more on the dispute concerning Morabito: Merrill Lynch Client Suggests […]

GREGORY WASHINGTON Churn Your Account? Have you invested with Spartan Capital Securities LLC securities broker Gregory Washington (CRD#: 5420613, New York, New York)? Notably, the Financial Industry Regulatory Authority (“FINRA”) shows that an investor disputed Gregory Washington’s sales practices. Allegedly, person churned accounts, made unauthorized and unsuitable trades, and misrepresented investments. Here is more about […]

CHAMP WARREN Give You Bad Investment Advice? Soreide Law Group is evaluating possible investor claims of suitability against Champ Warren (CRD#: 2401114, Houston, Texas). Warren is a securities representative who joined Merrill Lynch on November 30, 1993. Namely, the Financial Industry Regulatory Authority (“FINRA”) shows on Warren’s BrokerCheck Report that a client complained about his […]

TODD LAMBERTY Losses? Todd Lamberty (CRD#: 4155573, Sioux Falls, South Dakota) is a securities representative who most recently was registered through Questar Capital Corporation. According to the Financial Industry Regulatory Authority (“FINRA”), an investor allegedly incurred losses from Lamberty’s sales practice violations. Here’s more on the allegations against Lamberty: Client of Woodbury Financial Services & […]