FINRA Investigating Allegations Of Excessive Trading By First Standard Broker Andre Davis Soreide Law Group is reviewing possible investor claims against Andre Davis [CRD#: 1417097, Red Bank, New Jersey]. Apparently, he worked for First Standard Financial Company between 2015 and 2019 and joined Paulson Investment Company in 2019. It appears that Financial Industry Regulatory Authority […]

Investors File Suitability Disputes About Carlos Abella Soreide Law Group is investigating potential investor claims of bad securities sales practices by broker Carlos Abella [CRD#: 3207913, Guaynabo, Puerto Rico]. Evidently, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck reports no less than 23 clients who contested the securities recommendations or sales of the securities broker, who joined […]

Waddell Reed Clients Indicate Broker Donald Logan Caused Their Losses Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports alarming information in regard to securities broker Donald Logan [CRD#: 5537486, Silverdale, Washington]. Supposedly, at least 5 clients raised serious concerns about the securities broker, who worked for Waddell Reed between 2015 and 2018. Also, the […]

Merrill Lynch Investors Indicate Broker Juan Barreras Recommended Unsuitable, Misrepresented Investments Investors are voicing complaints and serious concerns in regard to Juan Barreras [CRD#: 1742910, Guaynabo, Puerto Rico]. Supposedly, the securities broker, who began working with Merrill Lynch on June 21, 2010, shows 5 investor disputes on Financial Industry Regulatory Authority (“FINRA”) BrokerCheck. Supposedly, Merrill […]

Investors Suggest That Dawson James' Travis Lippmann Misrepresented Investments The Financial Industry Regulatory Authority (“FINRA”) reports troubling allegations of misconduct against prior Dawson James securities broker Travis Lippmann (CRD#: 5908823, New York, New York). Evidently, at least two of Lippmann’s clients at Dawson James came forward to dispute his sales practices. Notably, these disputes indicate […]

RBC Capital Market's Lisa Lowi Allegedly Made Unsuitable Bond Trades Soreide Law Group is reviewing possible investor claims against RBC Capital Markets securities broker Lisa Lowi (CRD#: 1347790, Boca Raton, Florida). Namely, the Financial Industry Regulatory Authority (“FINRA”) reports that 39+ clients brought disputes about her sales practices. Not only that, but FINRA barred Lowi […]

Losses From Lance Ziesemer? Soreide Law Group is investigating possible claims of excessive trading and unsuitable trading by Feltl & Company securities broker Lance Ziesemer (CRD#: 2342087, Wayzata, Minnesota). Notably, Ziesemer reports on FINRA BrokerCheck that at least 14 clients brought complaints or arbitration claims about his sales practices. It appears from those investor claims […]

FINRA Issues Suspension, Fine To PlanMember's Raymond Menna The Financial Industry Regulatory Authority (“FINRA”) issued a 45 day suspension and $5,000 fine to PlanMember Securities Corporation broker Raymond Menna (CRD#: 1918097, Farmingville, New York, New York). Evidently, Menna, who worked for PlanMember Securities Corporation from August  12, 2010 to May 30, 2019, executed an Acceptance, […]

Did Your Broker Or Advisor Sell You SMARTSTOP SELF STORAGE REIT? Soreide Law Group is reviewing possible investor claims against brokers or financial advisors who may have inappropriately recommended SmartStop Self Storage REIT Inc. (f/k/a Strategic Storage Trust II). Evidently, the board of directors of this non-traded REIT, which focuses on “stabilized self-storage facilities and […]