Investors have reportedly disputed the sales practices of securities broker Daniel Lawrence Polansky [CRD: 4580954, Clifton Park, New York], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Polansky worked for American Portfolios Advisors Inc. and American Portfolios Financial Services Inc. from March 2018 to October 2024, and he has been […]

Investors potentially experienced sales practice violations by securities broker James Joseph Montalto [CRD: 711603, Northport, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Montalto has been registered with RBC Capital Markets LLC since November 23, 2005. Read below to discover more about Montalto’s publicly reported disclosures. RBC Capital […]

Investors potentially incurred losses because of securities broker Jonathan Hilton Malinger [CRD: 5201626, Pasadena, California], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Malinger has been registered with Wedbush Securities Inc. since February 18, 2022. Read below to learn more about Malinger’s disclosures and what they might mean for affected […]

GWG Is a TOTAL Loss, Call Us To Begin Your Recovery! Soreide Law Group is investigating prospective investor lawsuits against financial advisors that recommended GWG Holdings Inc. L Bonds to investors. Notably, GWG Holdings failed to make required principal and interest payments to investors last month. Here’s more about GWG Holdings L Bonds, including how […]

Securities Broker Paul Antevy Involved In FMSbonds Client Disputes The Financial Industry Regulatory Authority (FINRA) contains new information concerning securities broker Paul Itzchak Antevy (CRD#: 2713105, North Miami Beach, Florida). It appears that Antevy joined FMSbonds Inc. in March 2003, and two clients of FMSbonds disputed Antevy’s sales practices. In addition, Antevy is involved in […]

Washington Securities Division Indicates Ron Hannes Misused Clients Funds The Soreide Law Group is investigating possible investor claims involving Ronald Walter Hannes (CRD#: 1462241, Spokane, Washington). Namely, the securities broker, who worked for Woodbury Financial Services from 1994 to 2019, is on the receiving end of a Washington Securities Division’s Statement of Charges alleging he […]

Did Your Financial Advisor Recommend PHI, Inc. Bonds? Soreide Law Group is reviewing possible claims against securities brokers and financial advisors who possibly recommended bonds issued by PHI, Inc. (OTC: PHIKQ, PHIIQ) – a Lafayette, Louisiana-based helicopter services company which emerged from Chapter 11 bankruptcy in September 2019. Who Is PHI, Inc.? Apparently, PHI, Inc. […]

Wedbush and Hilltop Clients Indicate That Broker Mark Augusta Committed Sales Practice Violations Soreide Law Group is investigating potential investor claims against broker Mark Fred Augusta [CRD#: 1333913, Del Mar, California]. Notably, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck identifies 19 or more clients who seemingly experienced losses because of Augusta, who worked for Wedbush Securities […]

The Peabody Retirement Community filed a voluntary Chapter 11 restructuring case on June 24, 2013, in the U.S. Bankruptcy Court for the Southern District of Indiana. This restructuring could possibly result in a default which would then cause bonds, originally issued in August 2002, to lose their value. Some of these bonds were recommended and […]