Newbridge Securities Broker John Boatright Targeted In Disputes About Churning, Misrepresentation FINRA BrokerCheck shows that securities broker John Richard Boatright (CRD#: 2545676, Duluth, Georgia) is involved in investor disputes. It appears that this securities broker worked for firms including JP Turner and Company (2015), Summit Brokerage Services (2015 to 2016), and Newbridge Securities Corporation (2016 […]

Churning, Misrepresentation Alleged In Investment Disputes About Carlos Rodriguez The Financial Industry Regulatory Authority (“FINRA”) reports new information regarding a barred broker by the name of Carlos Antonio Rodriguez (CRD#: 4363000, Plano, Texas). This broker worked for firms Merrill Lynch and UBS Financial Services. Notably, FINRA expelled Rodriguez as securities broker in October 2017. Also, […]

Worden Capital Investors File Disputes About Securities Broker John LoPinto It appears that investors have come forward in dispute of securities broker John Michael LoPinto (CRD#: 4563735, New York, New York). In total, Financial Industry Regulatory Authority (“FINRA”) reveals that four investors took aim at LoPinto alleging sales practices violations. SEC also sanctioned him. Here’s […]

FINRA Looking Into Suitability Of Broker John Cangialosi's Investment Recommendations Soreide Law Group is evaluating whether to file investment disputes against John Sebastion Cangialosi (CRD#: 3273830, New York, New York). This securities broker, who worked for Legend Securities (2013 to 2016), Worden Capital Management (2016 to 2019) and SW Financial (2019 to present), has troubling […]

Investment Disputes Allege That Ken Hutkin Made Unsuitable Trades Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports troubling information in regard to securities broker Kenneth Marc Hutkin (CRD#: 1344519, New York, New York). Particularly, four investors filed disputes about the securities broker, who worked for Morgan Stanley from 2010 to 2018 and now works […]

Primex's Wilfredo Felix Is Barred By FINRA, Found Liable In Investor Dispute Soreide Law Group is evaluating possible investor claims to be brought against former Primex securities broker Wilfredo Felix Jr. (CRD#: 2693672, New York, New York). Notably, his FINRA BrokerCheck report contains alarming disclosures. This includes FINRA’s decision to bar Felix for seemingly impeding […]

Securities Broker Scott Williams (Raymond James, LPL Financial) Involved In Investor Disputes Soreide Law Group provides you with this Investor Alert in regard to securities broker Scott D. Williams (CRD#: 2330693, Franklin Tennessee). Notably, the Financial Industry Regulatory Authority (“FINRA”) reports that the securities broker, who worked for firms Raymond James (2011 to 2017) and […]

Securities Broker Sam Aziz Allegedly Made Excessive, Unsuitable Trades In Wells Fargo Investor Accounts Investor Alert! FINRA BrokerCheck shows that investors brought lawsuits alleging sales practice violations by barred broker Sam Aziz (Sam Yehya, Sam Azizieh) (CRD#: 1721932, Dublin, Ohio). Evidently, Aziz worked for Wells Fargo (2012 to 2015), Coastal Equities (2015 to 2018) and […]

Broker Laurence Torres Faces Sanctions, Investor Lawsuits Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) BrokerCheck contains 11 critical disclosures concerning securities broker Laurence "Larry" Michael Torres (CRD#: 2821373, Staten Island, New York). Among them are FINRA and SEC sanctions which effectively prevent Torres, who worked for First Standard Financial Company LLC and Alexander Capital […]