Latest Securities Lawyer News

ATTENTION INVESTORS: Complaint Against Lombard Securities About ERIC ZAKARIN Have you suffered investment losses with Lombard Securities broker Eric Zakarin (CRD#: 1708397, Cranford, New Jersey)? Investors should take caution if investing with Zakarin because of investors’ and his previous employers’ allegations against him. Take a look at some of the customer disputes involving Zakarin: Lombard […]

ROSEMARY TAVERNA Referenced In Commonwealth Financial Network Investor Dispute Soreide Law Group is reviewing potential claims of misconduct, including unsuitable alternative investment sales, against Commonwealth Financial Network securities broker Rosemary Taverna (CRD#: 1244454, Greenwich, Connecticut). Specifically, Taverna shows on her Financial Industry Regulatory Authority (“FINRA”) BrokerCheck Profile that an investor disputed her sales practices. Here […]

INVESTOR ALERT: FINRA Suspends, Fines MICHAEL TANHA Soreide Law Group is investigating possible claims on behalf of those who invested with Merrill Lynch securities broker Michael Tanha (CRD#: 6022108, Beverly Hills, California). The Financial industry Regulatory Authority (“FINRA”) recently issued Michael Tanha a 10-month suspension and $15,000 fine pursuant to Tanha’s May 1, 2019 submission […]

ATTENTION INVESTORS: Losses from Cetera Broker CLARA TANG? Soreide Law Group is reviewing possible investor claims against Cetera Investment Services LLC securities broker Clara Tang (CRD#: 4852979, Cupertino, California). Notably, the Financial Industry Regulatory Authority (“FINRA”) BrokerCheck Report for Clara Tang, who worked at Cetera Investment Services from August 2012 to May 2018, shows that […]

Suffered Losses From AMERIPRISE FINANCIAL SERVICES, AFTAB AHMAD? Soreide Law Group is reviewing possible claims of unsuitability and misrepresentation against Ameriprise Financial Services, Inc. general securities representative Aftab Ahmad (CRD#: 3148243, Bethesda, Maryland). According to the FINRA BrokerCheck, at least one investor came forward with a complaint involving Ahmad. This raises allegations of Ahmad selling […]

DOMINIC ANTHONY TROPIANO (Dominic Torpiano) CRD#: 4761462, former Cleveland, Ohio broker, has been barred by FINRA, May 9, 2019, from acting as a broker or otherwise associating with a broker-dealer firm for alleged unsuitable trading in non-traditional ETFs. According to FINRA’s report, Dominic Torpiano consented to the sanction and to the entry of findings that […]

INVESTOR ALERT: Customer Dispute About SAGEPOINT’S STEPHEN MATTHEWS Stephen Matthews (CRD#: 1878065, Dublin, Ohio) is a general securities representative of SagePoint Financial, Inc. According to Stephen Matthews’ Financial industry Regulatory Authority (FINRA) BrokerCheck Report, Stephen Matthews, who has been with SagePoint Financial, Inc. since August 16, 2013, is the subject of an investor’s dispute. Here […]

Losses From HECTOR RIVERA, ORIENTAL FINANCIAL SERVICES? Hector Rivera (CRD#: 4826616, San Juan, Puerto Rico) is an Oriental Financial Services Corp. general securities representative. Evidently, Hector Rivera joined Oriental Financial Services in its San Juan, Puerto Rico offices on January 25, 2016. However, Rivera’s suspicious sales practices have become a cause of concern for investors. […]

INVESTOR ALERT: Customer Complaints About CENTAURUS FINANCIAL, CINDY CHIELLINI Cindy Chiellini (CRD#: 1015592, Lexington, South Carolina) is a Centaurus Financial Inc. financial advisor. Apparently, the securities broker, who has worked at Centaurus Financial, Inc. since May 19, 2015, reports at least twelve investor complaints between December 23, 2016 and March 18, 2019, according to FINRA […]