Broker Chun Zhu Involved In Investor Dispute Alleging Breach Of Fiduciary Duty The Financial Industry Regulatory Authority (“FINRA”) reports troubling information in regard to securities broker Chun Mei Zhu who also goes by the name Ida Mei Zhu (CRD#: 4863613, Bellevue Washington). Evidently, In May 2020, Zhu became a securities broker and financial advisor for […]

Windsor Street Securities Broker John Riccardi Ordered To Pay Investor For Losses FINRA reports troubling information in regard to Windsor Street securities broker John F. Riccardi Jr. (CRD#: 4771185, New York, New York). Notably, FINRA indefinitely suspended Riccardi’s broker registration because he did not pay compensatory damages to a client who sued him for sales […]

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 […]

Concorde Broker Joseph Michaletz Involved In Investor Disputes About Alternative Investments Including GPB Soreide Law Group is reviewing possible investor claims against securities broker Joseph Gerard Michaletz (CRD#: 1327534, Mankota, MN). Notably, nine clients have brought disputes or lawsuits in regard to the securities broker, who worked for firms Concorde Investment Services and DAI Securities. […]

Barred Broker Joseph Pratt Allegedly Breaches Fiduciary Duty While At Stifel Nicolaus The Financial Industry Regulatory Authority (“FINRA”) reports troubling information in regard to securities broker Joseph Hersey Pratt (CRD#: 719416, Conshohocken, PA). Notably, the securities broker, who last worked for securities firm Stifel Nicolaus (2014 to 2019), is barred by FINRA which means that […]

Broker Laurence Torres Faces Sanctions, Investor Lawsuits Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) BrokerCheck contains 11 critical disclosures concerning securities broker Laurence "Larry" Michael Torres (CRD#: 2821373, Staten Island, New York). Among them are FINRA and SEC sanctions which effectively prevent Torres, who worked for First Standard Financial Company LLC and Alexander Capital […]

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 […]

Broker Larry Labine Targeted In Investor Lawsuits Soreide Law Group is examining possible investor lawsuits to be brought against securities broker Lawrence “Larry” Michael Labine (CRD#: 1279935, Scottsdale, Arizona). Notably, clients of Labine at Newbridge Securities Corporation challenged his sales practices. Supposedly, Labine caused them to experience losses. Let’s take a closer look at some […]

Securities Broker Nick Son Allegedly Sold Or Recommended Unsuitable Investments To Aegis Clients According To Disputes Soreide Law Group provides you this investor alert in regard to securities broker Nick Son (CRD#: 1178523, New York, New York). Notably, the securities broker, who worked for National Securities Corporation and Aegis Capital Corp, is facing disputes from […]