Soreide Law Group is currently investigating potential claims on behalf of investors who have suffered losses involving financial advisor and securities broker, Sevag Raffi Haddadian [CRD#: 3249290, Brea, California]. Haddadian worked for Wells Fargo Clearing Services LLC from January 13, 2022, to July 7, 2022, and Morgan Stanley from June 1, 2009, to January 27, […]

Soreide Law Group is currently examining potential claims on behalf of investors who have incurred financial losses due to the actions of securities broker and financial advisor, Rogerio T. Almeida (Rogerio T. De Almeida Filho) [CRD: 7083841, Orange City, Florida]. Almeida worked with Edward Jones from May 11, 2019, to September 7, 2022. The Financial […]

Soreide Law Group is actively investigating potential claims on behalf of investors who have sustained losses involving securities broker Christopher John Carpenter (also known as Chris Carpenter) (CRD: 6601132, Charlotte, NC). Notably, Carpenter worked for LPL Financial LLC from March 5, 2020, to February 1, 2023, and before that with Spire Securities, LLC from May […]

The Florida-based Soreide Law Group (888-760-6552) obtained the following information on FINRA’s website under, “Disciplinary and Other Actions January 2016.” Daniel George Kasbar (CRD #5869994, Cooper City, Florida) was barred by FINRA for allegedly failing to provide FINRA with requested documents and information during their investigation into allegations that Kasbar engaged in an outside business […]

Douglas Jay Melzer (aka DUTCH MELZER) (CRD #5438362, Mars, Pennsylvania) was barred by FINRA for allegedly soliciting his member firm’s clients to invest $2,000,000 in an outside investment, which the firm had not approved, without providing his firm prior written notice or receiving prior written approval. FINRA's findings stated that Melzer misappropriated funds from his […]

Soreide Law Group, based in Pompano Beach, Florida (888) 760-6552, obtained the following summation of information from FINRA’s website, under “Disciplinary and Other FINRA Actions, April 2015.” Wendy Ann Wurst (CRD #1902879, Atlantis, Florida) AKA/ WENDY ANN MINERD, WENDY A MINERO, WENDY ANN MINERO was assessed a deferred fine of $50,000, suspended by FINRA for […]

Talman Anthony Harris (CRD #3209947, Garden City, New York) and William John Scholander (CRD #2938044, Brooklyn, New York) were barred by FINRA for allegedly fraudulently omitting material facts when soliciting purchases of securities and engaging in outside business activities without providing their member firm with written notice. FINRA's findings stated that Harris and Scholander, in […]

William Charlton Mays (CRD #2693626, Corpus Christi, Texas) was barred by FINRA and ordered to pay $10,000, plus interest, in restitution to a client for allegedly converting and misusing a client’s funds for his own benefit. FINRA's findings stated that Mays received a $50,000 check after soliciting the cleint to invest in stocks and commodities. […]

Nathan Andrew Harmon (CRD #4988618, San Antonio, Texas) was assessed a deferred fine of $10,000 and suspended by FINRA for nine months for allegedly engaging in an unapproved outside business activity by selling an equity-indexed annuity not approved for sale by his member firm to a client, and receiving compensation as a result. FINRA's findings […]