Soreide Law Group, based in South Florida, is currently investigating claims regarding Miami-based, EVA MARINA OVEJERO, who is currently registered both as a broker and an investment advisor with RAYMOND JAMES & ASSOCIATES, INC at 600 Brickell Avenue in Miami, Florida. Ovejero has been registered with Raymond James since June of 2023.  Before Raymond James, […]

Broker George Warner Barred By FINRA, Involved In Investor Dispute Alleging Selling Away Soreide Law Group is investigating potential investor disputes to bring against securities broker George Marshall Warner Jr. (CRD#: 2300570, Staten Island, New York). Evidently, FINRA barred Warner as a securities broker in March 2021 because of him failing to comply with an […]

FINRA Suspends Merrill Lynch Securities Broker Rawad Alame For Options Trading FINRA suspended Merrill Lynch securities broker Rawad Roy Alame (CRD#: 5376696, Raleigh, North Carolina) for a period of six months starting on January 4, 2021 and ending on July 3, 2021 to resolve allegations of his private securities transactions. Alame consented to the suspension […]

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 […]

Broker Steven Schisler Facing Accusations From FINRA Regarding Unsuitable Transactions The Financial Industry Regulatory Authority (“FINRA”) reports some concerning information in regard to securities broker Steven Douglas Schisler (CRD#: 2367961, Grass Valley, California). Namely, FINRA lodged a complaint against the broker alleging that he made nine distinct violations of FINRA and NASD rules. Allegations include […]

Broker Sumitro Pal Purportedly Made Bad Trades In Morgan Stanley Customers' Accounts Soreide Law Group is evaluating possible investor disputes against securities broker Sumitro Pal (CRD#: 4763364, Bethesda, Maryland). Specifically, FINRA – the financial industry watchdog – indicates that 10 or more investors complained about Pal. Notably, the majority of clients brought disputes from 2017 […]

Securities Broker Mike Azad Involved In Investor Lawsuits Investor Alert! FINRA BrokerCheck shows troubling information regarding the sales practices of securities broker Masood “Mike” Husain Azad (CRD#: 4798445, League City, Texas). Particularly, four investors brought disputes about the broker’s sales practices. All four of those disputes came this year. In addition, FINRA expelled Azad in […]

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 […]