Financial Industry Regulatory Authority (FINRA) filed a complaint alleging misuse of client funds by securities broker David Wei Wong [CRD: 4689031, Los Angeles, California]. Not only that, but a client complained about him. Evidently, David Wong joined Integrity Brokerage LLC on April 3, 2020, and Integrity Advisers LLC on January 21, 2021. The following information […]

Soreide Law Group is investigating possible investor claims against securities broker TJ Fazzone (also known as Timothy Jay Fazzone) [CRD: 1610976, Dublin, OH]. Notably, FINRA sanctioned the securities broker, who worked for NYLife Securities LLC, because Fazzone allegedly converted funds. Here is a brief summary of FINRA’s allegations against Fazzone. FINRA Sanctions Fazzone For Conversion […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Tony Liddle (also known as Anthony Baker Liddle) (CRD:  5478479, Oshkosh, WI). Evidently, investors disputed the sales practices of the securities broker, who worked for Landolt Securities Inc. Additionally, the securities broker discloses a regulatory enforcement action. Read on to learn more about […]

Soreide Law Group is investigating possible investor claims against securities broker Peter James Fetherston [CRD: 2108610, Melville, New York]. Evidently, FINRA filed an enforcement or civil action against the securities broker, who worked for Principal Securities Inc. Allegedly, Fetherston converted funds. Here is a brief summary of FINRA’s allegations against Fetherston. FINRA Charges Peter Fetherston […]

Broker Ronald Daley (WS Brokerage Services, WS Life) Barred By FINRA Following Investigation The Financial Industry Regulatory Authority (“FINRA”) reports new information regarding securities broker Ronald Scott Daley (CRD#: 4682165, West Chester, Ohio). Specifically, Daley, who worked for securities firm WS Brokerage Services from January 2009 to August 2021, agreed to be barred indefinitely as […]

New Jersey Securities Bureau Bars John Cahill As Securities Broker, Financial Advisor Representative Soreide Law Group is looking into potential claims to bring on behalf of investors against securities broker John Joseph Cahill (CRD#: 1240551, Upper Salle River, New Jersey). Supposedly, the New Jersey Bureau of Securities revoked Cahill’s securities broker and financial advisor representative […]

Securities Broker Arieh Israel Barred By FINRA, Facing NYLife Client Complaint Notably, FINRA barred securities broker Arieh Israel (CRD#: 6481347, New York, New York) as a securities broker to resolve allegations of misuse of investor funds. Not only that, but Israel, who worked for NYLife Securities from October 2016 to February 2020, is facing investor […]

HTK Client Files Dispute About Securities Broker Sam Paolini New information comes from Financial Industry Regulatory Authority (“FINRA”) BrokerCheck regarding securities broker Sam Peter Paolini (CRD#: 6087086, New York, New York). Evidently, the securities broker worked for securities firm Morgan Stanley from August 2012 to February 2014, and securities firm Hornor Townsend Kent Inc. (“HTK”) […]

LPL Broker James Booth Defrauds, Steals From Clients Soreide Law Group provides this latest update surrounding a problem securities broker by the name of James Thomas Booth (CRD#: 1906145, Norwalk, Connecticut). Notably, Financial Industry Regulatory Authority (“FINRA”) reports that 36 investors – including LPL Financial and Investment Financial Corporation clients – brought lawsuits or complaints […]