Securities Broker Thomas Hunt (Wells Fargo) Involved In Investor Dispute Alleging Sales Practice Violations Soreide Law Group comes to you with new information regarding securities broker Thomas Boley Hunt (CRD#: 1323743, Twin Falls, Idaho). Before joining LPL Financial LLC as a financial advisor and securities broker in August 2018, Hunt worked for securities firms Wells […]

Morgan Stanley Clients, Prime Capital Services Clients Allege Sales Practice Violations By Mark Wells The Financial Industry Regulatory Authority (FINRA) contains important information on Mark Walter Wells (CRD#: 3053517, Boca Raton, Florida). Namely, the securities broker, who worked for Morgan Stanley in Boca Raton, Florida, since 2014, is involved in an investor dispute regarding alleged […]

Securities Broker Joseph Lianzo Faces FINRA Sanctions Over Alleged Unauthorized, Unsuitable Trading Soreide Law Group is reviewing potential investor claims relating to securities broker Joseph Augustien Lianzo (CRD#: 4516842, Melville, New York). Namely, Lianzo, who has worked for securities firm SW Financial since September 2017, agreed to an eight-month suspension as a securities broker to […]

Investor Disputes Allege Breach Of Fiduciary Duty, Churning By Worden Capital Securities Broker Nicholas Schiano Investors reportedly complained about securities broker Nicholas James Schiano (CRD#: 4429212, New York, New York). Evidently, the securities broker worked for securities firms, including Legend Securities (2013 to 2016), Worden Capital Management (2016 to 2017), and Spartan Capital Securities (August […]

Broker Elias Hakimian (LPL Financial) Fined For Borrowing, Accused Of Churning By Investor The Financial Industry Regulatory Authority (FINRA) reportedly issued a three-month suspension to Elias Moses Hakimian (CRD#: 4404048, Seal Beach, California) as a securities broker and fined him $5,000 for allegedly borrowing from a client of LPL Financial. In addition, an investor filed […]

Securities Broker John Santariello Gets Barred By FINRA, Accused Of Sales Practice Violations Including Excessive Trading, Churning Soreide Law Group has learned through Financial Industry Regulatory Authority (FINRA) BrokerCheck that the regulator barred John Joseph Santariello (CRD#: 5746158, Coram, New York). Evidently, Santariello worked for securities firms KC Ward Financial, National Securities Corporation, Wilmington Capital […]

NBC Clients Allege Misrepresentation, Unsuitable Trading In Disputes About Securities Broker Marcello Lattuca Soreide Law Group has news to share with you regarding the Financial Industry Regulatory Authority (FINRA) BrokerCheck disclosures of securities broker Marcello Lattuca (CRD#: 2149434, Massapequa, New York). Namely, four investors disputed Lattuca’s sales practices, and clients brought three disputes in 2020. […]

Alexander Capital's Barry Eisenberg Sanctioned By SEC, Involved In Disputes Alleging Failure To Supervise Investors have come forward to dispute the sales practices of securities broker Barry Todd Eisenberg (CRD#: 2313107, New York, New York). Specifically, FINRA shows that two investors – clients of JP Turner and Alexander Capital – filed disputes. Secondly, United States […]

Investor Disputes Involving David Krispeal Allege Unauthorized, Excessive Trading The Financial Industry Regulatory Authority (FINRA) reports important information that you should know in regard to securities broker Solomon David Krispeal (CRD#: 2735776, Hauppauge, NY). Notably, at least 8 investors filed disputes (complaints, FINRA Arbitration Claims) alleging that Krispeal engaged in sales practice violations including excessive […]