SEC Bars Richard Cody After He Pleads Guilty To Investment Adviser Fraud Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports alarming information in regard to securities broker Richard Cody [CRD#: 2794558, Spring Lake, New Jersey]. Not only has the Securities and Exchange Commission (“SEC”) and Financial Industry Regulatory Authority (“FINRA”) both barred the securities […]

DH Hill Investors Indicate Charles Stevens Sold Bad Investments Soreide Law Group is investigating potential investor claims against securities broker Charles Stevens [CRD#: 1698058, Saint Augustine, Florida]. Notably, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck reports that no less than 5 clients contested the securities recommendations or sales of the securities broker, who joined DH Hill […]

Cetera Investors File Disputes About Broker John Massa Investors are alleging investment losses because of Cetera Investment Services securities broker John Massa [CRD#: 2120585, Staten Island, New York]. Supposedly, the securities broker, who joined Cetera on September 8, 2010, shows 5 investor disputes on Financial Industry Regulatory Authority (“FINRA”) BrokerCheck. Notably, Cetera clients indicate that […]

Losses From Lance Ziesemer? Soreide Law Group is investigating possible claims of excessive trading and unsuitable trading by Feltl & Company securities broker Lance Ziesemer (CRD#: 2342087, Wayzata, Minnesota). Notably, Ziesemer reports on FINRA BrokerCheck that at least 14 clients brought complaints or arbitration claims about his sales practices. It appears from those investor claims […]

Did ALLAN MONTALBANO Excessively Trade Your Account? Soreide Law Group is evaluating possible investor claims against Worden Capital Management and National Securities Corporation broker and financial advisor Allan Montalbano (CRD#: 4507029, Garden City, New York).  Notably, at least 14 clients of Montalbano disputed his sales practices, and all but 3 disputes have settled through payments […]

SEC Contemplating Barring ERNEST ROMER The Securities and Exchange Commissions issued an Order February 22, 2019 commencing administrative proceedings to determine whether to bar securities broker Ernest Romer III (CRD#: 2311741, Shelby Township, Michigan). Evidently, SEC initiated these proceedings due to Romer’s criminal conviction on 13 counts of embezzlement. Here's more on the alarming allegations […]

Losses From MICHAEL FISHER, WELLS FARGO? Soreide Law Group is investigating possible claims on behalf of investors against prior Wells Fargo Advisors, LLC representative Michael Fisher (CRD#: 4056114, Melville, New York). Fisher, who worked for Wells Fargo from 2012 to 2016 and who since affiliated with Ameriprise Financial Services, discloses through FINRA BrokerCheck that four […]

Did Debra Lambert Excessively Trade Your Account? The Financial Industry Regulatory Authority (“FINRA”) reports troubling allegations against Raymond James and Merrill Lynch securities broker Debra Lambert (CRD#: 2238553, The Villages, Florida). Notably, at least 1 Raymond James client and 2 Merrill Lynch clients filed disputes contesting Lambert’s sales practices. Here’s a summary of the allegations […]

MICHAEL GIOKAS Barred By FINRA Did you invest with Fortune Financial Services securities broker Michael Giokas (CRD#: 1398674, Clarence, New York)? The securities broker, who FINRA barred in March 2018 for refusing to cooperate in a regulatory investigation, reports more than six client disputes since November 2017. Notably, clients suggest in those disputes that Giokas […]