Soreide Law Group is investigating possible investor claims against securities broker Jim Kent (also known as James Daniel Kent Jr.) [CRD: 2255753, Pinellas Park, FL]. Mainly, FINRA sanctioned the securities broker, who worked for Emerson Equity LLC. Allegedly, Kent failed to make regulatory disclosures. Also, investors filed disputes about the securities broker. Here is a […]

Soreide Law Group is investigating possible investor claims against securities broker Ed Maklouf (also known as Ahmad Mohamed Maklouf) [CRD: 6092943, New York, NY]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck disclosed that investors complained about the securities broker, who worked for Spartan Capital Securities LLC. Notably, investors allege sales practice violations in these disputes, […]

Investors have come forward with complaints about securities broker Ariel Rivero (CRD:  4236679, Miami, FL). Evidently, the securities broker, who worked for Jefferies LLC, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, one or more investors allege that Rivero or his member firm acted in breach of fiduciary duty, failed to supervise […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Miguel Angel Murillo (also known as Michael Murillo) (CRD:  4875997, New York, NY). Not only has Maryland sanctioned Murillo, but investors disputed the sales practices of the securities broker. However, Murillo denies the allegations. Read on to learn more about the allegations against […]

Investors have come forward with complaints about securities broker Daniel Mackle (also known as Daniel Joseph Mackle Sr.) (CRD:  2239531, Hackensack, NJ). Evidently, the securities broker, who worked for Garden State Securities Inc., discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Garden State Securities Inc. clients allege that Mackle made unsuitable recommendations, […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Russ Kory (CRD:  5901185, White Plains, NY). Not only has FINRA sanctioned Kory for unsuitable recommendations, but investors disputed the sales practices of the securities broker. However, Kory denies the allegations. Read on to learn more about the allegations against Kory. Russ Kory […]

Investors have come forward with complaints about securities broker Ryan Thomas Fleming (CRD:  4378425, Bellevue, WA). Evidently, the securities broker, who worked for Hornor Townsend Kent LLC, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Hornor Townsend Kent LLC clients allege that Fleming made misrepresentations and made unsuitable recommendations. For more on […]

Soreide Law Group is investigating possible investor claims against securities broker Michael Scott Desando (CRD:  1849321, Red Bank, NJ). Evidently, FINRA sanctioned the securities broker, who worked for Network 1 Financial Securities Inc. Allegedly, Desando engaged in excessive trading. Here is a brief summary of FINRA’s allegations against Desando. FINRA Issues Sanctions To Michael Desando […]

Investors have come forward with complaints about securities broker James Baroutas (CRD:  1252613, New York, NY). Evidently, the securities broker, who worked for B. Riley Wealth Management, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, B. Riley Wealth Management clients allege that Baroutas engaged in unauthorized trading. For more on these disclosures […]