Broker Shane McMillan (Arete, Cambridge) Facing Investor Disputes The Financial Industry Regulatory Authority (FINRA) BrokerCheck shows important information on securities broker Dennis Shane McMillan (CRD#: 5126963, Englewood, Colorado). Evidently, McMillan worked for Cambridge Investment Research and Cambridge Investment Research Advisors from 2011 to 2015. Also, he became an Arete Wealth Management securities broker in January […]

Cambridge Investment Research Clients Allege Unsuitable Transactions By Securities Broker Dale Wright Soreide Law Group investigates whether to bring possible disputes on behalf of investors against securities broker Dale Edward Wright (CRD#: 1142615, Henrico, Virginia). Notably, ten investors made disputes involving Wright's sales practices. Not only that, but the Commonwealth of Virginia fined Wright $50,000 […]

FINRA Investigating Securities Broker David Melilli (SagePoint, Cambridge Investment Research) Soreide Law Group provides you with important investor-related information in regard to securities broker David John Melilli (CRD#: 5254172, Moorestown, New Jersey). Evidently, Melilli worked for SagePoint Financial from 2010 to 2019, LPL Financial in 2018, and Cambridge Investment Research from 2019 to 2020. Namely, […]

Michael Christopher Evangelista (CRD #2361644, West Chester, Pennsylvania) was barred by FINRA for failing to disclose to his member firms that firm clients were purchasing securities away from the firms or that he was being compensated in connection with his referrals. FINRA's findings stated that Evangelista referred approximately six customers to a third party, and […]