Merrill Lynch Client Files Dispute About Broker Peter Ianace's Recommendations The Financial Industry Regulatory Authority (FINRA) discloses new information through BrokerCheck as it relates to Peter Vincent Ianace (CRD#: 3238078, Plano, Texas). It appears that the securities broker, who worked for Merrill Lynch (2011 to 2019) and Wells Fargo Clearing Services (2019 to 2020), is […]

Edward Jones Clients Target Broker Ronald Radner For Alleged Unsuitable Transactions The Financial Industry Regulatory Authority (“FINRA”) shows through BrokerCheck that investors filed disputes about securities broker Ronald James Radner (CRD#: 5834701, Delray Beach, Florida). Allegations include investor losses caused by unsuitable investment transactions. Here’s more information on these disputes about the securities broker, who […]

Prospera, HD Vest Investors Bring Disputes About Michael Kamperman The Financial Industry Regulatory Authority (FINRA) reports new disputes involving HD Vest Investment Services securities broker Michael Kamperman (CRD#: 2002603, Waco, Texas). In fact, FINRA BrokerCheck shows that five investors filed complaints or FINRA arbitration claims alleging sales practice violations by Kamperman. Not only that, but […]

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 […]