Broker Alex Herrera Is Barred By FINRA, Involved In Investor Disputes The Financial Industry Regulatory Authority (“FINRA”) reports troubling information in regard to securities broker Alex Gerardo Herrera (CRD#: 3204779, Coral Gables, Florida). Notably, FINRA BrokerCheck confirms that at least three investors filed disputes alleging sales practice violations by the securities broker, who worked for […]

Primex's Wilfredo Felix Is Barred By FINRA, Found Liable In Investor Dispute Soreide Law Group is evaluating possible investor claims to be brought against former Primex securities broker Wilfredo Felix Jr. (CRD#: 2693672, New York, New York). Notably, his FINRA BrokerCheck report contains alarming disclosures. This includes FINRA’s decision to bar Felix for seemingly impeding […]

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. […]

Barred Broker Thomas Marino Sanctioned Again By FINRA Investor Alert! FINRA barred securities broker Thomas John Marino (CRD#: 4438533, Lake Worth Beach, Florida). Not only that, but the securities broker, who worked for firms JW Cole Financial and RM Stark, is involved in at least three investor disputes. These disclosures contain allegations that Marino sold […]

Dustin Blount Barred, Involved In Lawsuits The investment loss recovery lawyers at Soreide Law Group provide you this investor alert in regard to securities broker Dustin M. Blount (CRD#: 5267680, Vicksburg, Mississippi). Notably, FINRA reports that it has indefinitely barred the securities broker, who worked for firms including Northwestern Mutual Investment Services (“NMIS”) from 2012 […]

FINRA Bars Charles Euler For Refusing To Testify Investor alert! Financial Industry Regulatory Authority (“FINRA”) BrokerCheck reports 8 disclosures on the record of financial advisor Charles J. Euler (CRD#: 202696, Radnor, Pennsylvania). Notably, the securities broker is highlighted in at least seven disputes alleging sales practice violations. On top of that, FINRA barred Euler because […]

Broker Craig Zabala Misappropriated Assets, SEC Complaint Indicates Soreide Law Group is reviewing potential investor claims against securities broker Craig Anthony Zabala (CRD#: 2740680, Harlem New York). Notably, the Securities and Exchange Commission (“SEC”) brought a lawsuit against Zabala in which it makes troubling allegations including misappropriation. Not only that, but Financial Industry Regulatory Authority […]

Broker Bryan Mazliach Identified In Client Disputes, FINRA Complaint Soreide Law Group is evaluating possible investor claims of sales practice violations by Bryan G. Mazliach (CRD#: 5518438, Fort Lauderdale, Florida). Apparently, the securities broker, who worked for Rockwell Global Capital (2010 to 2015), Laidlaw (2015 to 2017) and Westpark Capital (2017 to 2018), is involved […]

FINRA Bars Lenny Kinsman For Failing To Testify, Produce Information Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) barred Leonard “Lenny” Kinsman (CRD#: 2816535, Staten Island, New York) from being a securities broker for violating FINRA rules. In addition, Kinsman’s clients brought investment disputes which raise questions about whether Kinsman may have misrepresented information to […]