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 […]

DAVID SILBERG Sanctioned By Massachusetts Regulator Evidently, Massachusetts Securities Division issued a Consent Order on September 27, 2018, placing securities broker David Silberg (CRD#: 1970484, Melville, New York) on heightened supervision. The Division prohibited Silberg, who affiliated with Aegis Capital Corp. between 2010 and 2019, from soliciting investment purchases from clients for 5 years. Not […]

FINRA Issues Fine, Suspension To ROGER OWENS The Financial Industry Regulatory Authority (“FINRA”) announced on August 14, 2019 that it issued a 12-month suspension and $10,000 fine to Cetera Advisors securities broker Roger Owens (CRD#: 2359204, Elkton, Maryland). Evidently, Owens submitted a Letter of Acceptance, Waiver and Consent (“AWC”) on July 15, 2019, which FINRA […]

Soreide Law Group Investigating John Carroll Soreide Law Group is reviewing possible investor claims against Berthel Fisher Company Financial Services securities broker John Carroll (CRD#: 41769). Specifically, according to the securities broker’s FINRA BrokerCheck Report, three clients filed disputes against him, and two securities firms discharged him for bad behavior. Here’s more on the allegations […]

Did Jeremy Monte Cause You Losses? Former American Portfolios Financial Services securities broker Jeremy Monte (CRD#: 4601512, Fairport, New York) allegedly sold unsuitable investments to investors. Apparently, the Financial Industry Regulatory Authority (“FINRA”) reports through BrokerCheck that at least five clients of his filed disputes about his sales practices. Here’s more on the allegations against […]