Aegis Client Indicates That Broker Made Sales Practice Violations Investor alert! The Financial Industry Regulatory Authority (“FINRA”) reports troubling allegations of misconduct regarding securities broker Mickey Schreiber, who also goes by the name M.B. Schreiber (CRD#: 1032600, Red Bank, New Jersey). Apparently, Schreiber worked for securities firms including National Securities Corporation (2012 to 2016) and […]

FINRA Suspends Dawson James' Mack Miller For Unsuitable Trading Soreide Law Group provides you this investor alert in regard to securities broker Mack Leon Miller (CRD#: 2822317, New York, New York). Apparently, FINRA issued a suspension and a fine to Miller for unsuitable trading. Not only that, but three of Miller’s clients disputed his sales […]

Investment Planners Broker Jim Parrelly Supposedly Caused Investors' Losses Investor Alert! Financial Industry Regulatory Authority (“FINRA”) shows that James “Jim” Anthony Parrelly (CRD#: 728368, Dearborn, Michigan) is a problem securities broker. Notably, there are 12 disclosures on Parrelly’s record which all suggest that he did something wrong. This includes not just investor complaints or lawsuits […]

SW Financial Broker Douglas Leone Sanctioned Again By Financial Watchdog The Financial Industry Regulatory Authority (“FIRNA”) announced that it again sanctioned Salomon Whitney Financial securities broker Douglas A. Leone (CRD#: 2453784, Melville, New York). The watchdog’s move comes after prior infractions – all of which resulted in him being barred. Not only that, but seven […]

FINRA Contends That Broker Steven Luftschein Made Excessive Trades Causing Investor Losses Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) brought a regulatory action against Steven R. Luftschein (CRD#: 2690117, Huntington, New York) – also known by the name Steven Lerner. Specifically, in May 2020, the watchdog accused the securities broker of both violating fraud […]

Broker David Weisberg Purportedly Churns, Excessively Trades In Worden Capital Client Accounts Soreide Law Group is reviewing whether to bring lawsuits on behalf of investors against securities broker David Weisberg (CRD#: 5610111, New York, New York). Not only has Financial Industry Regulatory Authority (“FINRA”) sanctioned the securities broker for “excessive and unsuitable” trading, but at […]

Laidlaw Broker Bryan Mazliach Allegedly Made Excessive, Unsuitable Trades There is growing suspicion among investors of bad securities recommendations or sales on the part of securities broker Bryan Gabriel Mazliach (CRD#: 5518438, Fort Lauderdale, Florida). Notably, Financial Industry Regulatory Authority (“FINRA”) shows that three investors brought disputes about the securities broker, who worked for Laidlaw […]

Broker Marc Reda Possibly Traded Without Investor Authorization The Financial Industry Regulatory Authority (“FINRA”) reports troubling allegations of misconduct by securities broker Marc A. Reda (CRD#: 2757330, New York, New York). Namely, the Spartan Capital Securities broker is under investigation and facing a possible FINRA enforcement action alleging his unauthorized trading. Not only that, but […]

Broker Michael Venturino Supposedly Breached Fiduciary Duty, Churned Aegis Customer's Account Soreide Law Group wants to know if you sustained losses by investing with Michael Christopher Venturino (CRD#: 5872439, Garden City, New York). Venturino is a securities broker who joined Spartan Capital Securities in April 2018 and who also worked for Aegis Capital Corp (2014-2017) […]