Investors have reportedly disputed the sales practices of securities broker Ricardo Nkrumah Rose (also known as Richard Rose) [CRD: 4225756, Brooklyn, New York], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Ricardo Rose worked for Arive Capital Markets from October 27, 2015, to April 23, 2024. Investors should keep reading to […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Mitchell Scott Biernick (CRD: 2690172, Ronkonkoma, New York). Not only has FINRA sanctioned Biernick for failing to testify when FINRA investigated him for potential FINRA rule violations on suitability, but investors disputed his sales practices. However, Biernick denies the allegations. Read on to […]

Soreide Law Group is investigating possible investor claims against securities broker Chris Polinaire (CRD:  4330879, Hauppauge, NY). Evidently, FINRA sanctioned the securities broker, who worked for Network1 Financial Securities Inc. Allegedly, Polinaire engaged in excessive trading. Here is a brief summary of FINRA’s allegations against Polinaire. FINRA Issues Sanctions To Polinaire For Excessive Trading Evidently, […]

FINRA reports allegations of sales practice violations by securities broker Mirsad Muharemovic (also known as Mirso Muharemovic) [CRD#: 3122589, Staten Island, New York]. Evidently, investors disputed the sales practices of the securities broker. Evidently, these disputes concern when the broker worked for Seaboard Securities and Arive Capital Markets. However, Muharemovic denies the allegations of sales […]

Broker Mirsad Muharemovic Faces Arive Investor Dispute About Alleged Unsuitable Trading FINRA BrokerCheck indicates that investors alleged sales practice violations involving securities broker Mirsad A. Muharemovic “Mirso Muharemovic” (CRD#: 3122589, Staten Island, New York) and that those violations resulted in damages. Particularly, Muharemovic, who worked for securities firms Arive Capital Markets (his employer since June […]

Securities Broker John Santariello Gets Barred By FINRA, Accused Of Sales Practice Violations Including Excessive Trading, Churning Soreide Law Group has learned through Financial Industry Regulatory Authority (FINRA) BrokerCheck that the regulator barred John Joseph Santariello (CRD#: 5746158, Coram, New York). Evidently, Santariello worked for securities firms KC Ward Financial, National Securities Corporation, Wilmington Capital […]

FINRA Bars Lisa Acca The Financial Industry Regulatory Authority (“FINRA”) announced August 8, 2019 that it barred Arive Capital Markets securities broker, Lisa Acca (CRD#: 4661358, Bay Ridge, New York) for stonewalling a FINRA investigation. Apparently, the investigation concerned Acca’s potential private securities transactions with an Arive client. Evidently, the general securities representative, who worked […]