Broker Matt Kildis Involved In Disputes Alleging Unsuitable Recommendations, Misrepresentation Soreide Law Group is reviewing potential investor disputes against securities broker Ahmet Kildis (“Matt Kildis”) (CRD#: 2058173, Hudson, Florida). FINRA BrokerCheck shows that Kildis works for Fifth Third Securities and used to work for SunTrust Securities. Notably, three investors filed disputes about the broker, and […]

Jeffrey Baber (First Standard Financial Company) Involved In Investor Disputes Soreide Law Group is reviewing potential investor disputes concerning securities broker Jeffrey Allen Baber (CRD#: 1232485, Boca Raton, Florida). Investors allege that Baber made sales practice violations when he worked for National Securities Corporation and First Standard Financial Company. Let’s take a closer look at […]

Tennessee Securities Division Sanctions Raymond James' Bill Woods Financial Industry Regulatory Authority (FINRA) BrokerCheck contains three disclosures regarding securities broker William Forrest Winchester III (Bill Woods) (CRD#: 4404327, Chattanooga, Tennessee). Notably, Tennessee Securities Division reportedly sanctioned Woods for allegedly failing to disclose loans with Raymond James clients. It appears that Raymond James terminated Woods as […]

FINRA Launches Investigation Into Securities Broker Antoine Souma Relating To Possible Concealment Of Client Complaint It appears that securities broker Antoine Nabih Souma (CRD#: 4210987, Los Angeles, California) is under FINRA investigation. Essentially, FINRA says in a December 2020 disclosure that it might take disciplinary action against Souma for possibly violating FINRA and MSRB rules […]

Ameriprise Financial Services' Barry Abrams Facing Investor Disputes Alleging Unsuitability, Breach Of Fiduciary Duty Soreide Law Group brings you up to speed regarding securities broker Barry David Abrams (CRD#: 488, Marlton, New Jersey). Specifically, FINRA BrokerCheck shows that five investors brought disputes about Abrams, and a couple of those disputes concern Abrams’ actions at Ameriprise […]

Comerica Investors Allege Sales Practice Violations By Securities Broker Ed Torriente Soreide Law Group is investigating potential investor claims against securities broker William Edward Torriente Jr. (known as Ed Torriente and Eddy Torriente) (CRD#: 4255814, Phoenix, Arizona). It appears that Torriente worked for Comerica Securities Inc. from 2009 to 2020. Notably, three clients of Comerica […]

NBC Clients Allege Misrepresentation, Unsuitable Trading In Disputes About Securities Broker Marcello Lattuca Soreide Law Group has news to share with you regarding the Financial Industry Regulatory Authority (FINRA) BrokerCheck disclosures of securities broker Marcello Lattuca (CRD#: 2149434, Massapequa, New York). Namely, four investors disputed Lattuca’s sales practices, and clients brought three disputes in 2020. […]

Investors Allege Sales Practice Violations By Securities Broker Chris Shaw (Kalos Capital, Pruco Securities) According to the Financial Industry Regulatory Authority (FINRA), securities broker Christopher John Shaw "Chris Shaw" (CRD#: 5011382, Belmont, North Carolina) is involved in investor disputes. The securities broker worked for Blackbird North America, Kalos Capital, Kalos Management, Pruco Securities, Prudential Financial […]

Clients Dispute Sales Practices Of Hilltop Securities Broker, Financial Advisor Mark Katz The Financial Industry Regulatory Authority (FINRA) reports that investors filed disputes concerning securities broker Mark Katz (CRD#: 3055019, San Diego, California). Evidently, Katz worked as a financial advisor and a securities broker with Hilltop Securities Inc. in San Diego, California from December 2008 […]