Investors File Disputes About Broker Todd Ellentuck (Aegis, UBS) The Financial Industry Regulatory Authority (“FINRA”) reports serious information about a securities broker by the name of Todd Michael Ellentuck (CRD#: 1321452, Morristown, New Jersey). Mainly, at least three investors disputed Ellentuck’s sales practices. In addition, UBS Financial Services Inc. disaffiliated with Ellentuck due to unauthorized […]

FINRA Arbitration Panel Orders Sunset Financial To Compensate Client For Private Placement Losses The Financial Industry Regulatory Authority (“FINRA”) reports that certain investors who experienced losses from private placements have recovered compensation in a lawsuit against Sunset Financial Services Inc. Evidently, that dispute, which clients filed in December of 2017, reportedly concerns Walton Vista Del […]

Oppenheimer Broker David Krumrey Allegedly Caused Investor Losses The investment loss recovery team at Soreide Law Group provides you with this Investor Alert in regard to securities broker David Wayne Krumrey (CRD#: 4121845, The Woodlands, Texas). The securities broker, who worked for Oppenheimer from 2009 to 2017, is targeted in at least 6 investor disputes. […]

Investors File Lawsuits Over Suitability Of Matthew Siliato's Securities Transactions The investment loss recovery team at Soreide Law Group brings you this investor update in regard to securities broker Matthew Angelo Siliato (CRD#: 5062153, Bronx, New York). Notably, of major concern to investors should be the 14 disclosures on Siliato’s record which involve adverse information […]

Securities Broker Mike Azad Involved In Investor Lawsuits Investor Alert! FINRA BrokerCheck shows troubling information regarding the sales practices of securities broker Masood “Mike” Husain Azad (CRD#: 4798445, League City, Texas). Particularly, four investors brought disputes about the broker’s sales practices. All four of those disputes came this year. In addition, FINRA expelled Azad in […]

First Allied's Kyle Franklin The Focus Of Investor Dispute The Financial Industry Regulatory Authority (“FINRA”) reports troubling information regarding Kyle R. Franklin (CRD#: 1255175, Roseville, California). Evidently, Franklin, who worked as a securities broker for First Allied Securities Inc. from 2013 to 2017 and Hilltop Securities Inc. from 2017 to 2019, is involved in three […]

Geneos Clients Indicate That Michael Osland Sold Unsuitable Investments Soreide Law Group is reviewing the possible advancement of investor lawsuits against securities broker Michael John Osland (CRD#: 1791642, Scottsdale, Arizona). Namely, the securities broker has been involved in two investor disputes involving allegations of his sales practice violations at Geneos Wealth management where he has […]

Securities Broker Nick Son Allegedly Sold Or Recommended Unsuitable Investments To Aegis Clients According To Disputes Soreide Law Group provides you this investor alert in regard to securities broker Nick Son (CRD#: 1178523, New York, New York). Notably, the securities broker, who worked for National Securities Corporation and Aegis Capital Corp, is facing disputes from […]

Mutual Securities Broker Gary Pevey Supposedly Breached His Fiduciary Duty To Investors Soreide Law Group provides this investor alert in regard to Mutual Securities financial advisor or securities broker Gary Pevey (CRD#: 2129469, Sacramento, California). Notably, FINRA BrokerCheck shows that three investors complained about Pevey. These investors suggest that Pevey, who worked for Mutual Securities […]