Bennett Robert Zamani (Bennett R Zamani CRD#: 6198730) was fined $27,500 and suspended for 14 months by the Financial Industry Regulatory Authority (FINRA).  Zamani is a former broker from Morgan Stanley in Paramus, New Jersey, who allegedly operated an unapproved day trading newsletter and used a personal phone for business texts with customers. On May […]

Investor At MML Alleges Sales Practice Violation By Broker Curt Giacobbe Soreide Law Group provides you with new information concerning securities broker Curt Giacobbe (CRD#: 2682776, Melville, New York). Notably, Financial Industry Regulatory Authority BrokerCheck shows that investors filed disputes about the securities broker, who worked for securities firm MML Investors Services from 2012 to […]

Securities Broker Jason Poff Sanctioned By FINRA, Accused Of Sales Practice Violations By LPL And Chase Clients Financial Industry Regulatory Authority (FINRA) BrokerCheck, which houses important information about securities brokers, contains new disclosures regarding securities broker Jason Howell Poff (CRD#: 4078570, Houston, Texas). Specifically, FINRA issued Poff a fine and suspension for alleging engaging in […]

Morgan Stanley Disaffiliates With Securities Broker Robert Mitchell Following Client Disputes Soreide Law Group has important information to share with you regarding securities broker Robert Lynn Mitchell (CRD#: 1523211, Frisco, Texas). Namely, Morgan Stanley, who employed Mitchell from June 2009 to February 2021, disaffiliated with him for alleged outside business activities. Not only that, but […]

Securities Broker Abdul Rahmani Faces FINRA Disciplinary Action Financial industry Regulatory Authority (“FINRA”) shows new investor-related information on BrokerCheck in regard to securities broker Abdul Matin Rahmani (CRD#: 4269583, Mineola, New York). Specifically, FINRA brought a disciplinary action against Rahmani for alleged violations of FINRA rules. Also, Rahmani’s employment ended with SW Financial following allegations […]

JORGE ANTONIO SONVILLE (JORGE A SONVILLE) CRD#: 2558540, had been previously registered both as a broker and as an investment advisor with Merrill Lynch of Miami, Florida, for 26 years.  According to FINRA’s BrokerCheck, on June 10, 2021, JORGE A SONVILLE, was discharged from Merrill Lynch, Pierce, Fenner & Smith Incorporated, following allegations of, “Conduct […]

Investors Indicate That Principal Securities' John Krohn Was Selling Away Soreide Law Group is reviewing possible investor claims of suitability, misrepresentation and other sales practice violations against securities broker John Michael Krohn (CRD#: 2722975, West Des Moines, Iowa). Notably, Krohn worked for Principal Securities from 1996 to 2017. His sales practices during that period have […]

WILLIAM KIELCZEWSKI Charged In FINRA Complaint On May 21, 2019, the Financial Industry Regulatory Authority (“FINRA”) Department of Enforcement brought a Complaint (Disciplinary Proceeding #: 2017054405401) against The Huntington Investment Company securities broker William Kielczewski (CRD#: 4034356, Toledo, Ohio). Notably, FINRA’s Department of Enforcement alleged Kielczewski violated FINRA Rules because he participated in private securities […]

INVESTOR ALERT: Claims Against Citigroup Global Markets Inc. Brokers Becky Woo, John Kelly Citigroup Global Markets Inc. (CRD#: 7059, New York, New York) is both a FINRA-regulated brokerage firm and SEC-regulated investment advisory. The firm, established January 25, 1960, discloses an alarming rate of regulatory events and arbitrations on FINRA BrokerCheck. Specifically, regulators have taken disciplinary […]