Investor Disputes Reported On BrokerCheck Record of Marcelo Poliak (Jeffries, Wells Fargo) The Financial Industry Regulatory Authority (FINRA) BrokerCheck shows new investor dispute information regarding securities broker Marcelo Javier Poliak (CRD#: 2465622, Miami, Florida). It appears that Poliak worked for securities firm Wells Fargo Clearing Services. He was a financial advisor and securities broker at […]

Investor Alert: Customer Claims Against WELLS FARGO, LEONARD KINSMAN Leonard Kinsman (CRD#: 2816535, Staten Island, New York) is presently employed as a securities broker of Wells Fargo Advisors Financial Network, LLC. According to FINRA BrokerCheck, investors reference Kinsman’s securities practices in four complaints between May 5, 1998 and October 17, 2016. Customers’ claims suggest Kinsman […]

On March 9, 2017, an investor won a $357,000 arbitration award against Wells Fargo Advisors for unsuitable energy and housing investments.  The investor claimed; fraud, negligent misrepresentation, breach of fiduciary duty and negligent supervision, among other causes. The panel awarded the investor $357,000 in compensatory damages plus 8.75% interest from March 25, 2016, until March […]

MATTHEW CHRISTOPHER MACZKO (MATHEW MACZKO) CRD#: 1888519 a former Wells Fargo Advisors registered representative, has been barred by  the Financial Industry Regulatory Authority Inc. (FINRA).  Matthew Maczko was allegedly trading excessively in the accounts of an elderly client and then generating hundreds of thousands of dollars in commissions for himself. On February 9th., 2017, Matthew […]

Soreide Law Group recently filed a lawsuit on behalf of three clients against registered representative, DANIEL FAIN (CRD# 19616), and WELLS FARGO ADVISORS, LLC (WELLS FARGO). The Claimants, two of whom are in their 70s and retired, had placed all of their investment assets with WELLS FARGO to supplement their income through retirement.  Each of […]

Soreide Law Group recently filed a FINRA arbitration on behalf of their client against WELLS FARGO ADVISORS LLC, (“Wells Fargo”),  and Wells Fargo advisor John B. Leonard (CRD# 2113842). The Claimant, is a 58 year old retiree from Ohio, who lives off the income generated from her investments and her teacher’s pension. Her investment objective […]

BRADLEY T. SMEGAL (CRD# 716056), a 63 year-old former Wells Fargo investment adviser in Minnealpolis is facing federal securities fraud charges for allegedly stealing more than $5 million from clients. In a statement released July 19, 2016, Minnesota U.S. Attorney stated that Bradley T. Smegal is facing two counts of securities fraud. Allegedly from 2007 […]

Soreide Law Group in interested in speaking with investors who were recommended purchasing stock in the now bankrupt oil and gas company, Cubic Energy Inc., by their brokers or financial advisors, particularly those with Wells Fargo. Due to the fact that Cubic Energy Inc. was highly indebted to Wells Fargo, it has been alleged that […]

Florida-based Soreide Law Group, (888) 760-6552, obtained the following summation of information from FINRA's website “Disciplinary and Other FINRA Actions May, 2015.” Kamran Daryush Nougzust (CRD #5787549, Pembroke Pines, Florida) was barred by FINRA for allegedly failing to provide FINRA-requested documents and information involving an investigation into allegations that he improperly obtained approximately $99,500 from […]