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 […]

The Financial Industry Regulatory Authority (FINRA) reports important information about Damian Mark Baird (CRD: 3097243, Boston, Massachusetts). Not only has FINRA sanctioned Baird, but investors disputed the sales practices of the securities broker. However, Baird denies the allegations. Read on to learn more about the allegations against Baird. FINRA Sanctions Baird For Failure To Comply […]

Investors complained about securities broker Edward Chong Yoon (CRD: 2408137, Pasadena, California). Notably, the securities broker, who worked for First Allied Securities Inc., disclosed client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Namely, First Allied Securities Inc. clients allege that Yoon made unsuitable recommendations. For more on these disclosures about Yoon, see below. First […]

Soreide Law Group is investigating possible investor claims against securities broker Mickey Schreiber (also known as M.B. Schreiber) (CRD: 1032600, Red Bank, New Jersey. Specifically, Aegis Capital Corporation permitted Schreiber to resign amid allegations of his misconduct. Not only that, but FINRA sanctioned him and investors complained about him. Here is a brief summary of […]

Soreide Law Group is looking into possible investor claims against securities broker Patrick Anthony Perugino (also known as Pat Perugino) (CRD: 6363411, New York, New York). Particularly, FINRA sanctioned the securities broker, who worked for Spartan Capital Securities LLC. Allegedly, Perugino engaged in discretionary trading. Here is a brief summary of FINRA’s allegations against Perugino. […]

Soreide Law Group is looking into possible investor claims against securities broker Douglas Kaiser (also known as Doug Kaiser) (CRD: 1674570, Boca Raton, Florida). Particularly, FINRA sanctioned the securities broker, who worked for Westpark Capital Inc. Allegedly, Kaiser failed to supervise markdowns and markups at Westpark Capital Inc. Here is a brief summary of FINRA’s […]

Investors complained about securities broker Peter Lewis Goffin (CRD: 1617710, Boca Raton, Florida). Notably, the securities broker, who worked for Newbridge Securities Corporation, disclosed client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Namely, Newbridge Securities Corporation clients allege that Goffin breached a contract and fiduciary duty and provided unsuitable advice. For more on these […]

Soreide Law Group has learned of possible investor claims against securities broker Luis Manuel Espinoza (CRD: 4474528, Riverside, California). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for First Financial Equity Corporation. Evidently, investors allege sales practice violations in these disputes, including that […]

FINRA reports important information about securities broker Dana H. Davis (CRD: 1707708, Hauppauge, New York). Not only has FINRA sanctioned Davis for making unsuitable recommendations and inappropriately used margin, but investors disputed the sales practices of the securities broker. However, Davis denies the allegations. Read on to learn more about the allegations against Davis. FINRA […]