Barred Broker Paul Pitsironis Involved In Investor Disputes Investor Alert! Clients of Janney Montgomery Scott and Wells Fargo are filing disputes about financial advisor Apostolos “Paul” Pitsironis (CRD#: 2804907, Melville, New York). In fact, Soreide Law Group reviewed Pitsironis’ BrokerCheck Profile which shows 9 adverse disclosures. Namely, at least 7 investors from Janney Montgomery Scott […]

Broker Benjamin Bourgeois Allegedly Converted Funds From LPL Financial Client Investor Alert! The Financial Industry Regulatory Authority ("FINRA") reports alarming allegations of improprieties by securities broker Benjamin Frank Bourgeois Jr. (CRD#: 2145555, Metairie, Louisiana). Notably, no less than 4 clients contested the securities recommendations or sales of the securities broker, who worked for Commonwealth Financial […]

Clients File Disputes About Barred Country Capital Broker Adam Lopez Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports alarming allegations of improprieties by securities broker Adam Michael Lopez [CRD#: 5562750, Springfield, Illinois]. Notably, no less than 11 clients brought disputes about the securities broker, who associated with Country Capital Management Company from September 16, […]

Joseph Stone Broker Erik Pica Allegedly Steals $200,000 From Client Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports alarming allegations of improprieties by Joseph Stone Capital securities broker Erik Pica [CRD#: 4829533, New York, New York]. Namely, FINRA filed a complaint against Pica alleging his conversion of client funds. In addition, 7 clients  brought […]

Stifel Nicolaus Broker Barred After Pleading Guilty To Fraud Soreide Law Group is investigating potential investor claims for losses caused by securities broker Mitchell Yanow (CRD#: 2148171, Boca Raton, Florida). Notably, the Securities and Exchange Commission (“SEC”) barred the securities broker, who associated with Stifel, Nicolaus & Company, Incorporated (“Stifel Nicolaus”) from 2015 to 2018. […]

Oregon Division Of Financial Regulation Bars Laura Shean Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports alarming information in regard to prior LPL Financial securities broker Laura Shean [CRD#: 2628756, Medford, Oregon]. Not only has Oregon Division of Financial Regulation and FINRA sanctioned the securities broker for unauthorized transactions, but clients also raised serious […]

Kentucky Department Of Financial Institutions Bars Edward Bosh Kentucky Department of Financial Institutions issued a Final Order barring LPL Financial securities broker and Independent Financial Partners ("IFP") Advisors representative Edward Bosch (CRD#: 1127469, Florence, Kentucky). The Order dated March 8, 2018 shows that Bosch admitted to improperly depositing his clients’ funds in his own account. […]

SEC Bars Securities America's Hector May Soreide Law Group is evaluating possible claims against Securities America, Inc. general securities representative and Executive Compensation Planners Inc. President, Hector May (CRD#: 323779, New City, NY). Evidently, in December 2018, May pleaded guilty to 1 count of investment adviser fraud and 1 count of conspiracy to commit wire […]

FINRA Issues Default Decision Barring Farid Morim The Financial Industry Regulatory Authority (“FINRA”) announced on February 23, 2018 that it barred J.P. Morgan Securities broker Farid Morim (CRD#: 5023477, Beverly Hills, CA). Evidently, a FINRA Hearing Officer issued a Default Decision on January 26, 2018, finding Morim violated FINRA Rules 8210 and 2010 when he […]