Broker Vincent Virga Involved In Madison Avenue Securities Client Disputes About Alternative Investments The Financial Industry Regulatory Authority contains new information in regard to securities broker Vincent Anthony Virga (“Vincenzo Virga”) (CRD#: 5070668, Bayonne, New Jersey). Namely, it appears that two investors filed disputes alleging unsuitable recommendations by Virga when he worked for Madison Avenue […]

Securities Broker Joseph Lianzo Faces FINRA Sanctions Over Alleged Unauthorized, Unsuitable Trading Soreide Law Group is reviewing potential investor claims relating to securities broker Joseph Augustien Lianzo (CRD#: 4516842, Melville, New York). Namely, Lianzo, who has worked for securities firm SW Financial since September 2017, agreed to an eight-month suspension as a securities broker to […]

Investor Disputes Allege Breach Of Fiduciary Duty, Churning By Worden Capital Securities Broker Nicholas Schiano Investors reportedly complained about securities broker Nicholas James Schiano (CRD#: 4429212, New York, New York). Evidently, the securities broker worked for securities firms, including Legend Securities (2013 to 2016), Worden Capital Management (2016 to 2017), and Spartan Capital Securities (August […]

LPL Financial Clients Allege Sales Practice Violations By Chris Black The Financial Industry Regulatory Authority (FINRA) provides new information concerning securities broker Christopher Bryan Black (CRD#: 5049080, Statesboro, Georgia). Specifically, the securities broker, who worked for Wells Fargo Clearing Services from 2013 to 2017, and LPL Financial from 2017 to 2020, is involved in investor […]

Securities Broker Joseph Chu Involved In RBC Capital Markets Clients' Disputes Over Energy Stock Recommendations Soreide Law Group is reviewing potential investor claims concerning securities broker Joseph Ijong Chu (CRD#: 4546805, Stamford, Connecticut). Namely, Chu, who works for RBC Capital Markets as a financial advisor and securities broker (2018 - present), is involved in six […]

Securities Broker Kim Barentsen Faces Investor Dispute, FINRA Sanctions The Financial Industry Regulatory Authority (FINRA) contains new information regarding securities broker Kimberly Ann Barentsen (CRD#: 2092280, Walnut Creek, California). It appears that a client of First Allied Securities disputed Barentsen’s sales practices. Also, FINRA issued a two-month suspension to the securities broker for allegedly engaging […]

Securities Broker Anthony Tricarico (Aegis) Involved In Investor Dispute, Sanctioned By FINRA Soreide Law Group is reviewing potential investor disputes relating to securities broker Anthony Tricarico (CRD#: 1047416, New York, New York). Tricarico worked for Aegis Capital Corp from March 2010 to July 2020. According to Financial Industry Regulatory Authority (FINRA) BrokerCheck, he faces disputes […]

Cambridge Investment Research Clients Allege Unsuitable Transactions By Securities Broker Dale Wright Soreide Law Group investigates whether to bring possible disputes on behalf of investors against securities broker Dale Edward Wright (CRD#: 1142615, Henrico, Virginia). Notably, ten investors made disputes involving Wright's sales practices. Not only that, but the Commonwealth of Virginia fined Wright $50,000 […]

ONESCO Broker Jesse Kovacs Suspended By FINRA, Accused Of Sales Practice Violations By Investors FINRA BrokerCheck contains important disclosures regarding securities broker Jesse Todd Kovacs (CRD#: 5047161, Forked River, New Jersey). Specifically, FINRA suspended Kovacs as a securities broker in September 2020 to resolve allegations that he engaged in a private securities transaction in violation […]