Broker Bruce Ciallella Discloses Summit Brokerage Client Disputes Soreide Law Group comes to you with new information on FINRA BrokerCheck in regard to securities broker Bruce Anthony Ciallella (CRD#: 719050, Boca Raton, Florida). Evidently, Ciallella worked for securities brokers Merrill Lynch, Summit Brokerage Services (2005 to 2017), IFS Securities (2017 to 2019), and Cabot Lodge […]

Investment Suitability Dispute Concerns Securian Financial Services, Sheldon Bender The Financial Industry Regulatory Authority (FINRA) provides important information in regard to securities broker Sheldon Robert Bender “Shelly Bender” (CRD#: 1325415, Deerfield, Illinois). Evidently, Bender worked for Securian Financial Services (1988 to 2017). Here is a summary of the disclosures involving allegations of breach of fiduciary […]

Broker Joseph Andreoli Is Involved In Wells Fargo Client Dispute About Suitability FINRA provides important information concerning Joseph Marie Andreoli Jr. (CRD#: 1718688, Hackensack, New Jersey). It appears that the disclosures involving Andreoli concern his financial advisor or securities broker role at securities firms Wells Fargo Clearing Services (his employer from 2009 to 2019) and […]

Client Of IFG Files Dispute Involving Alternative Investments By Shim Plotkin Soreide Law Group is examining investor complaints concerning securities broker Shimshon Plotkin “Shim Plotkin” (CRD#: 2431863, Chevy Chase, Maryland), as disclosed on FINRA BrokerCheck. Evidently, Plotkin worked for Independent Financial Group LLC (2011 - present). Also, he worked for Pacific West Securities Inc. (2006 […]

FINRA, SEC Take Action Against Mike Conte (Fusion Analytics) FINRA BrokerCheck indicates that investors alleged improper sales practices involving securities broker Michael James Conte “Mike Conte” (CRD#: 2646071, St. James, NY) and that those violations resulted in damages. Notably, Conte was a securities broker at Fusion Analytics Securities LLC during the time of the allegations […]

Investor Suitability Disputes Concern William Hennion (Hennion Walsh) FINRA BrokerCheck indicates that investors alleged sales practice violations involving securities broker William Hennion (CRD#: 2048378, Parsippany, New Jersey) and that those violations resulted in damages. Evidently, Hennion has been with Hennion Walsh since 1990 and Hennion Walsh Asset Management since 2007. Notably, he faces allegations of […]

Broker Larry Russo Facing Investor Disputes Concerning Newport, Westpark Clients Soreide Law Group talks about the FINRA BrokerCheck disclosures on securities broker Laurence Jordan Russo “Larry Russo” “Jordan Russo” (CRD#: 2763277, Fort Lauderdale, FL). It appears that Russo worked for Westpark Capital (2016 to 2019). Also, the broker worked for JP Turner Company (2002 to […]

Sales Practice Violations Alleged In Alexander Capital Client's Dispute About Broker Michael Androulakis Evidently, FINRA contains important disclosures on broker Michael Scott Androulakis (CRD#: 2793638, New York). Evidently, Androulakis has worked as a securities broker for Alexander Capital LP since 2016. Also, he previously worked as a securities broker for Legend Securities. Let’s take a […]

Investor Disputes Involve Securities Broker Kyle Davis (Raymond James, Morgan Stanley) FINRA BrokerCheck indicates that investors alleged improper sales practices involving securities broker and financial advisor Evan Kyle Davis “Garry Davis” (CRD#: 2995789, Atlanta, Georgia) and that those violations resulted in damages. Notably, Davis worked for Raymond James (his employer from 2013 to 2019), Morgan […]