Wedbush and Hilltop Clients Indicate That Broker Mark Augusta Committed Sales Practice Violations Soreide Law Group is investigating potential investor claims against broker Mark Fred Augusta [CRD#: 1333913, Del Mar, California]. Notably, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck identifies 19 or more clients who seemingly experienced losses because of Augusta, who worked for Wedbush Securities […]

Newport, Paulson Investors Suggest Broker John Tarpinian Breached Fiduciary Duty Soreide Law Group is investigating potential investor claims against securities broker John Tarpinian [CRD#: 1013555, New York, New York]. Notably, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck shows that 12 clients contested securities recommendations or sales made by Tarpinian, who associated with Newport Coast Securities (“Newport”) […]

Cantone Research CEO Anthony Cantone Willfully Defrauded Investors, FINRA Finds Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports alarming issues concerning Cantone Research CEO Anthony Cantone [CRD#: 1066139, Eatontown, New Jersey]. Not only has FINRA suspended the securities broker for committing securities fraud, but 5 clients brought disputes against him. Mainly, these disclosures suggest […]

Centaurus Broker Cindy Chiellini Allegedly Causes Investor Losses On Bad Real Estate Securities Transactions Soreide Law Group is reviewing potential investor disputes against Centaurus Financial securities broker Cindy Porto Chiellini [CRD#: 1015592, Lexington, South Carolina]. Notably, Colorado Division of Securities filed an enforcement action against Chiellini for her allegedly unsuitable and dishonest sales practices. Also, […]

Kalos Broker Joepat Roop Allegedly Sold Unsuitable BDCs, REITs Soreide Law Group wants to know if you sustained losses through investing with Joseph Patrick “Joepat” Roop (CRD#: 2774470, Belmont, North Carolina). Roop is a securities broker who joined Dempsey Lord Smith, LLC in July 2019 after a 10-year stint at Kalos Capital. Notably, Financial Industry […]

Money Concepts Broker Christopher Puffer Allegedly Breaches Fiduciary Duty In Connection With Alternative Investment Sales Have you invested with Christopher Puffer [CRD#: 2878141, Louisville, Kentucky]? Notably, the securities broker, who joined Money Concepts Capital Corp. on October 27, 2006, discloses on FINRA BrokerCheck that at least three of his clients challenged his sales practices. In […]

Morgan Stanley's Barry Connell Allegedly Misappropriated Investor Funds Soreide Law Group is investigating potential investor claims against securities broker Barry Connell (CRD#: 3070984, Ridgewood, New Jersey). Notably, the Financial Industry Regulatory Authority (“FINRA”), who barred the broker, reports through BrokerCheck that a slew of clients filed disputes about him.  Mainly, these clients allege Connell’s misdeeds […]

Westminster Clients Indicate Louis Telerico Caused Their Losses Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports alarming information in regard to securities broker Louis Telerico [CRD#: 443875, Dayton, Ohio]. Supposedly, at least 16 clients raised serious concerns about the securities broker, who worked for Westminster Financial between 2012 and 2016. Also, FINRA sanctioned Telerico […]

Broker Clifford Reid Allegedly Misrepresented Investments Soreide Law Group is looking into potential investor disputes against securities broker Clifford Reid [CRD#: 1905920, New York, New York]. Evidently, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck shows that at least 7 clients took issue with the securities broker, who started with Reid Rudiger in 1999. Notably, clients of […]