Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Victor Alan Lessinger (CRD#: 830821) previously of Boca Raton, Florida. Lessinger’s career spans over 44 years, with employment at nine firms, including Colorado Financial Service Corporation from October 2012 to April 2023. Recent disclosures highlight concerns about Lessinger’s conduct, including regulatory actions and client […]

Soreide Law Group is reviewing potential investor claims on behalf of individuals who incurred losses from securities broker Melissa Plotkin Spickler (also known as Melissa P. Plotkin, Melissa P. Plotkins, and Melissa Plotkinspickler) [CRD: 719397, Bloomfield Hills, Michigan]. Notably, Spickler has worked for Merrill Lynch Pierce Fenner Smith Incorporated as both a broker and a […]

FINRA Investigating LPL Broker Mike Lancaster The Financial Industry Regulatory Authority (“FINRA”) reports troubling information in regard to securities broker Michael “Mike” Joseph Lancaster (CRD#: 1353552, Tampa, Florida). Namely, the securities broker, who worked for LPL Financial LLC from May 2011 to February 2021, appears to be under FINRA investigation relating to an investor complaint. […]

Popular Securities, Inc. nka Popular Securities, LLC (CRD #8096, San Juan, Puerto Rico) was censured and fined $125,000 for alleged failure to establish, maintain, and enforce a supervisory system and procedures reasonably designed to identify and review concentrated securities purchases, including PR municipal bonds and PR closed-end funds. FINRA's findings stated that when the PR […]

Soreide Law Group is currently investigating Alpine Total Dynamic Dividend Fund (AOD). There were nearly 220 million shares sold to the public with a Closed-End Fund trading 31.45% above its Net Asset Value. It may soon be no longer one of the more favored of the Alpine funds. Alpine has recently disclosed that they have […]