Kalos Broker Joepat Roop Allegedly Sold Unsuitable BDCs, REITs Soreide Law Group wants to know if you sustained losses through investing with Joseph Patrick “Joepat” Roop (CRD#: 2774470, Belmont, North Carolina). Roop is a securities broker who joined Dempsey Lord Smith, LLC in July 2019 after a 10-year stint at Kalos Capital. Notably, Financial Industry […]

FSC Broker Lee Kramer Identified In Investor's Suitability Dispute Soreide Law Group is reviewing potential investor claims against FSC Securities Corporation broker Lee R. Kramer (CRD#: 1465416, Frederick, Maryland). Notably, FINRA BrokerCheck reports that the securities broker, who joined FSC Securities Corporation in March 2005, was recently accused of giving bad advice to an investor. […]

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 […]

ADAM BELARDINO Discharged By MassMutual MML Investors Services, LLC (“MassMutual”) disclosed through Financial Industry Regulatory Authority (“FINRA”) BrokerCheck that it terminated securities broker Adam Belardino (CRD#: 5221927, Elmsford, New York). According to MassMutual, it discharged Belardino following an investigation into a client complaint. Notably, FINRA BrokerCheck shows that four investors took aim at Belardino’s sales […]

Soreide Law Group obtained the following information from the January, 2018 FINRA Disciplinary Report: Bruce A. Lefavi Securities, Inc. (CRD #10684, Salt Lake City, Utah)  was censured and fined $25,000 for allegedly preparing four retail communications and distributing them to numerous clients containing content that pertained to Real Estate Investment Trusts (REITs) and/or Business Development […]