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 […]

FINRA Indicates That Investors Disputed Eric Harding's Sales Practices Soreide Law Group is evaluating possible investor disputes in regard to securities broker Eric Wayne Harding (CRD#: 2207823, Scottsdale, Arizona). Notably, more than 10 investors disputed the sales practices of Harding, who worked for securities firms Wells Fargo and United Planners Financial Services and who was […]

Barred Broker Joseph Pratt Allegedly Breaches Fiduciary Duty While At Stifel Nicolaus The Financial Industry Regulatory Authority (“FINRA”) reports troubling information in regard to securities broker Joseph Hersey Pratt (CRD#: 719416, Conshohocken, PA). Notably, the securities broker, who last worked for securities firm Stifel Nicolaus (2014 to 2019), is barred by FINRA which means that […]

Broker Clement Chichester Targeted In Disputes About Alternative Investments The Financial Industry Regulatory Authority (“FINRA”) reports troubling allegations of misconduct by securities broker Clement Chichester (CRD#: 1255275, Westlake Village, California). It appears that three or more investors complained about Chichester, who worked for Western International Securities from 2012 to 2017 when the firm disaffiliated with […]

Broker Laurence Torres Faces Sanctions, Investor Lawsuits Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) BrokerCheck contains 11 critical disclosures concerning securities broker Laurence "Larry" Michael Torres (CRD#: 2821373, Staten Island, New York). Among them are FINRA and SEC sanctions which effectively prevent Torres, who worked for First Standard Financial Company LLC and Alexander Capital […]

First Allied's Kyle Franklin The Focus Of Investor Dispute The Financial Industry Regulatory Authority (“FINRA”) reports troubling information regarding Kyle R. Franklin (CRD#: 1255175, Roseville, California). Evidently, Franklin, who worked as a securities broker for First Allied Securities Inc. from 2013 to 2017 and Hilltop Securities Inc. from 2017 to 2019, is involved in three […]

Broker Cynthia Cowden Barred By FINRA Financial Industry Regulatory Authority (FINRA) indefinitely barred (expelled) securities broker Cynthia Diane Cowden (Cynthia Case) (CRD#: 2054676, Lake Isabella, California). Not only that, but BrokerCheck shows that three investors brought disputes about the securities broker, who worked for securities firm NPB Financial Group from 2013 to 2020. Let’s take […]

Geneos Clients Indicate That Michael Osland Sold Unsuitable Investments Soreide Law Group is reviewing the possible advancement of investor lawsuits against securities broker Michael John Osland (CRD#: 1791642, Scottsdale, Arizona). Namely, the securities broker has been involved in two investor disputes involving allegations of his sales practice violations at Geneos Wealth management where he has […]

Clients Of Fidelity Brokerage Services Take Aim At Anthony Mesquit The Financial Industry Regulatory Authority (“FINRA”) reports troubling information regarding securities broker Anthony Mesquit (CRD#: 5210309, Jacksonville, Florida). Apparently, Mesquit worked for Strategic Advisers from 2012 to 2018, joined Fidelity Brokerage Services as a securities broker in January 2007, and is a Fidelity Personal and […]