Garden State Broker Ronald Richer Barred By FINRA Soreide Law Group is determining whether to bring lawsuits on behalf of investors against securities broker Ronald Richer (CRD#: 2988381, New York, New York). Namely, the Financial Industry Regulatory Authority (“FINRA”) indicates through BrokerCheck that Richer has nine disclosures on his record. These disclosures not only concern […]

Clients Of Forta, Presidental Brokerage Take Aim At Broker Greg Williams Who Allegedly Breached A Fiduciary Duty Soreide Law Group is contemplating whether to bring investment-related lawsuits against securities broker Gregory Jon Williams (CRD#: 1561089, Greenwood Village, Colorado). The most alarming thing about Williams – who is in his 10th year as a Forta Financial […]

FINRA Contends That Broker Steven Luftschein Made Excessive Trades Causing Investor Losses Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) brought a regulatory action against Steven R. Luftschein (CRD#: 2690117, Huntington, New York) – also known by the name Steven Lerner. Specifically, in May 2020, the watchdog accused the securities broker of both violating fraud […]

Spencer Winston Clients Indicate Ezri Shechter Made Unsuitable, Unauthorized Trades Soreide Law Group is investigating possible claims against Ezri Shechter (CRD#: 2772177, Jersey City, New Jersey). Namely, the securities broker, who worked for Spencer Winston from 2004 to 2020, reports investor disputes about his sales practices. Not only that, but Financial Industry Regulatory Authority (“FINRA”) […]

FINRA Bars America Northcoast's Christopher Barone Soreide Law Group wants you to be aware that securities broker Christopher Richard Barone (CRD#: 2032268, Houston, Texas) – the CEO and COO of America Northcoast Securities – is disqualified from being a FINRA broker effective January 23, 2020. Notably, FINRA barred Barone for misrepresenting his supervision of trade […]

Ameritas Clients Bring Disputes About Broker Robert Gianchiglia The investment loss recovery lawyers at Soreide Law Group have come across alarming information in regard to securities broker Robert Michael Gianchiglia (CRD#: 2117250, Worcester, Massachusetts). Namely, the securities broker, who joined securities firm UBS Financial Services in 2017 and who used to work for Ameritas Investment […]

Stifel Nicolaus Clients Take Aim At Andrew Elsoffer For Possibly Breaching Fiduciary Duty Soreide Law Group is investigating potential investor claims of breach of fiduciary among other sales practice violations by securities broker Andrew Elsoffer (CRD#: 2580009, Pepper Pike, Ohio). Namely, at least 8 investors filed disputes about the broker, who worked for Stifel Nicolaus […]

FINRA Moves To Expel Steven Rodemer For Not Testifying About Use Of Client Funds Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) indefinitely barred securities broker Steven Dale Rodemer (CRD#: 830561, Pueblo, Colorado). Notably, the former Stifel Nicolaus securities broker is no longer allowed to associate with FINRA member brokerage firms after refusing to give […]

Accelerated Capital Group's Wayne Miiller Supposedly Responsible For Bad Private Placement Offerings Investor Alert! Five clients of securities broker Wayne Ivan Miiller (CRD#: 4813645, Scottsdale, Arizona) filed disputes about his sales practices, according to Financial industry Regulatory Authority (“FINRA”) BrokerCheck Reports. Notably, these investors’ disputes suggest that Miiller was responsible for private placement offerings that […]