Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Keith Michael Curtis [CRD: 4798755, Tampa, Florida], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Keith Curtis worked for Aegis Capital Corp. from June 17, 2015, to January 3, 2022. Keep reading to learn more […]

Soreide Law Group is investigating potential investor claims of sales practice violations due to John Sebastion Cangialosi Jr. [CRD: 3273830, New York, New York], given the disclosures on FINRA BrokerCheck. Evidently, Cangialosi worked for SW Financial from December 10, 2019, to August 16, 2022, and for Worden Capital Management LLC from November 4, 2016, to […]

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 […]

CUSO Broker JT Coyne Possibly Sold Misrepresented Annuities To Clients Soreide Law Group is reviewing investor claims against CUSO Financial Services securities broker Gerald Thomas “JT” Coyne (CRD#: 4589061, Harrisburg, Pennsylvania). Namely, the Financial Industry Regulatory Authority (“FINRA”) barred Coyne as a securities broker on December 10, 2019. It appears that Coyne stonewalled the financial […]

American Capital Partners Clients Indicate That Broker Anthony Vultaggio Sold Bad Private Placements Investor Alert! Soreide Law Group is investigating possible claims of sales practice violations against securities broker Anthony Vultaggio Jr. (CRD#: 5292477, East Meadow, New York). Notably, at least two investors disputed the actions of the securities broker, who worked for American Capital […]

Kovack Broker Andrew Corbman Allegedly Breached A Fiduciary Duty Investor Alert! Financial Industry Regulatory Authority (“FINRA”) BrokerCheck signals troubling information in regard to securities broker Andrew Corbman [CRD#: 2513558, Lansdowne, Virginia]. Apparently, at least 19 clients took issue with the securities broker, who worked for Kovack Securities (2011-2015) and Newbridge Securities Corporation (2015-2016). Not only […]

RAND HECKLER Barred By FINRA The Financial Industry Regulatory Authority (“FINRA”) announced it has barred Benjamin & Jerold Brokerage I LLC securities broker Rand Heckler (CRD#: 2689235, Glen Cove, New York) from the securities industry for violating FINRA Rules by not responding to FINRA’s requests when under investigation. Supposedly, Heckler, A Benjamin & Jerold broker […]

JASON NELSON Barred By FINRA The Financial Industry Regulatory Authority (“FINRA”) barred LPL Financial LLC securities broker Jason Nelson (CRD#: 4824535, Tremonton, Utah). Evidently, Nelson submitted a Letter of Acceptance, Waiver and Consent (“AWC”) on May 30, 2019, which FINRA accepted on June 6, 2019.  Notably, FINRA says that Nelson violated FINRA Rules by refusing […]

THOMAS STUDER (Villages, Florida) Barred By FINRA Thomas Studer (CRD#: 6300308, The Villages, FL) is one of the latest securities brokers who the Financial Industry Regulatory Authority (“FINRA”) barred from the securities industry for attempts at thwarting a FINRA investigation. FINRA found Studer uncooperative when investigating his allegedly unauthorized activities. On May 20, 2019, Studer […]