FINRA Suspends TCM Securities Broker Michael Pellegrino, And TCM Investors File Disputes About Him Financial Industry Regulatory Authority (FINRA) BrokerCheck contains important information regarding Taylor Capital Management (TCM) securities broker Michael August Pellegrino (CRD#: 5900843, Oakbrook Terrace, Illinois). Namely, on January 6, 2021, FINRA suspended him for a period of two months. During that period, […]

Oppenheimer Investors File Disputes Alleging Sales Practice Violations By Securities Broker Jeffrey Warren Soreide Law Group provides you with the following update regarding securities broker Jeffrey Warren (CRD#: 2707969, Boca Raton, Florida). It appears that as of May 28, 2021, FINRA barred Warren from acting as a securities broker or associating with a FINRA-member firm. […]

Securities Broker William Friedman (Newbridge, Woodstock Financial) Discloses FINRA Suspension, Investor Disputes Soreide Law Group has new information to share with you concerning securities broker and financial advisor William Sidney Friedman (CRD#: 2475502, Boca Raton, Florida). Evidently, Friedman worked for securities firms Newbridge Securities Corporation (2007 to 2017), Woodstock Financial Group (2017 to 2019) and […]

Investors File Disputes About Securities Broker Brandon Rudolph (Chelsea Financial, WealthForge Securities) Soreide Law Group gives you this update concerning securities broker and financial advisor Brandon Carl Rudolph (CRD#: 6379420, Las Vegas, Nevada). Evidently, Rudolph worked for WealthForge Securities LLC (2017) and Chelsea Financial Services (2014 to 2016). It appears that three investors disputed his […]

FINRA Suspends Questar Capital Corp Securities Broker Louis Olave, Who Also Faces Investor Disputes The following update concerning Questar Capital Corporation securities broker Louis Olave (CRD#: 5904834, Burlington, Vermont) comes to you by Soreide Law Group. Notably, FINRA sanctioned Olave in April 2021 based on allegations that he participated in private, unauthorized securities transactions that […]

Stifel Nicolaus Broker Alex Perry Barred By FINRA, Facing Investor Disputes The Financial Industry Regulatory Authority (“FINRA”) barred Matthew Alexander “Alex” Perry (CRD#: 5985300, Columbia, Maryland). This means that he cannot work as a FINRA-member securities broker or otherwise associate with a FINRA-member brokerage firm. This decision is the result of an investigation by FINRA […]

Investors File Disputes About Heath Grossman (Silver Oaks Securities, JB Capital) Soreide Law Group provides you with an important update regarding Heath Geoffrey Grossman (CRD#: 4018002, Wethersfield, Connecticut). Evidently, Grossman worked as a securities broker with Silver Oak Securities (July 2012 to April 2017), and is a financial advisor with JB Capital as of April […]

Did You Suffer Losses By Investing In Moody National REIT II? Soreide Law Group is investigating potential investor lawsuits against financial advisors or securities brokers who may have sold or recommended investments in Moody National REIT II Inc. Namely, in August 2021, the Board of Directors of this non-traded REIT suspended the valuation of its […]

Medley LLC Files Bankruptcy The investment loss recovery lawyers at Soreide Law Group are reviewing possible investor claims against securities brokers and financial advisors who may have recommended investments in Medley LLC, run by Medley Management Inc. -- an alternative asset management firm. Notably, Medley LLC has filed for bankruptcy and investors might face large […]