Securities Broker Michael Capolongo Involved In Worden, Laidlaw Investor Complaints Soreide Law Group provides you with an update in regard to the investment disputes involving securities broker Michael Philip Capolongo (CRD#: 5702165, Hauppauge, New York). It appears that three investors disputed Capolongo’s sales practices. Although Capolongo currently works for Network 1 Financial Securities, the investment […]

Barred Securities Broker Mark Cohen Involved In Investor Disputes Soreide Law Group is investigating potential investor disputes to be brought against securities broker Mark Cohen (CRD#: 4534879, New York, New York). Mainly, five or more investors disputed Cohen’s sales practices to date. In addition, FINRA barred him as a securities broker effective September 2018. Here’s […]

Broker Ryan Raskin Barred By Financial Industry Regulatory Authority The Financial Industry Regulatory Authority (FINRA) announced that it expelled securities broker Ryan Ashley Raskin (CRD#: 5539610, Beverly Hills, California). Specifically, for refusing to cooperate in an investigation, the financial industry watchdog declared on January 13, 2021 that Raskin can no longer associate with FINRA firms. […]

Securities Broker Michael Giovannelli Targeted In Investor Disputes Soreide Law Group is contemplating possible investor claims or lawsuits regarding the sales practices of Michael John Giovannelli (CRD#: 4989449, Garden City, New York). Specifically, Giovannelli worked for Spartan Capital who disaffiliated with him in July 2020 for unauthorized trading. Not only that, but investors who held […]

Northwestern Mutual Client Files Dispute About Chad Mackland The Financial Industry Regulatory Authority (“FINRA”) reports troubling information about securities broker Chad Mackland (CRD#: 4933804, Council Bluff, Iowa). Apparently, a client of Mackland’s at Northwestern Mutual investment Services sued over his sales practices. In addition, Mackland’s Omaha, Nebraska employers – MassMutual and Northwestern – both have […]

Expelled Broker Dennis Murphy Allegedly Made Excessive, Unsuitable Trades Soreide Law Group is investigating whether to bring investment related complaints or lawsuits against Monmouth Capital Management securities broker Dennis James Murphy (CRD#: 4840274, Red Bank, New Jersey). Namely, FINRA issued the most severe of sanctions – a bar – to Murphy in May 2020. This […]

Spartan Capital Broker Joe Kelly Purportedly Sells Bad Private Placements Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports troubling information with regard to Spartan Capital Securities broker Joseph “Joe” Kelly (CRD#: 4560737, New York, New York). Notably, there are four investment disputes which have surfaced on Kelly’s record from 2016 to 2020. Supposedly, Kelly […]

Salomon Whitney Broker Chris Fernan Allegedly Breached Fiduciary Duty, Sold Unsuitable Investments Investor Alert! The Financial industry Regulatory Authority (“FINRA”) reports alarming information about securities broker Chris Anthony Fernan (CRD#: 5896584, Melville, New York). Apparently, a large number of clients filed disputes about the securities broker, who worked for Salomon Whitney Financial (“SW Financial”) from […]

FINRA Suspends Portfolio Advisors Alliance's Craig Siegel Soreide Law Group is looking into potential investor disputes against securities broker Craig Siegel [CRD#: 5759415, New York, New York]. Evidently, Siegel worked for Portfolio Advisors Alliance between 2013 and 2018. Notably, FINRA suspended Siegel between May 10, 2019 and July 16, 2019 for non-compliance. Not only that, […]