Investors might have sustained losses due to securities broker Robert Spaulding Gleason Jr. [CRD: 1415067, Owensboro, Kentucky], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Robert Gleason worked for IFP Securities LLC from February 2, 2022, to May 6, 2022, and Cantella Co. Inc. from November 21, 2016, to December 23, 2021. […]

Investors might have sustained losses due to Larry Joseph Michaels [CRD: 4351477, Orange, California], and FINRA sanctioned the securities broker, according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Larry Michaels has been registered with Crown Capital Securities L.P. since October 16, 2012. Continue reading to learn more about the disclosures linked to […]

Financial Industry Regulatory Authority (FINRA) sanctioned broker Valence Montgomery Williams [CRD: 1389729, New York, New York]. Williams's career includes positions at J.H. Darbie Co. Inc. from July 17, 2018, to December 19, 2023, and at Aegis Capital Corp. from March 23, 2010, to July 18, 2018, both based in New York, NY. Here’s a closer […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Darren Nickolas Ting [CRD: 6814035, Cleveland, Ohio], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Darren Ting worked for J.P. Morgan Securities LLC from March 12, 2021, to March 2, 2022, and previously for Merrill […]

Some investors have supposedly experienced damages because of securities broker Andrew David Schell [CRD: 6536347, Colorado Springs, Colorado], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Schell worked for D.A. Davidson Co. from January 16, 2020, to March 28, 2022, and previously for Merrill Lynch Pierce Fenner Smith Incorporated from September 18, […]

Matthew T Mierzycki (Matthew Thomas Mierzycki, Matthew Mierzycki), a broker/financial advisor currently listed with Ameriprise Financial Services in Round Rock, Texas, was fined $10,000.00 and suspended for four months following accusations that he allegedly used discretionary authority in client accounts and failed to disclose credit compromises to his employers. Without admitting or denying FINRA’s findings, […]

Soreide Law Group is investigating possible investor claims against securities broker Simon Michel Joseph (also known as Simon Michael Youssef) [CRD: 5602157, Alexandria, Virginia]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Truist Investment Services Inc. Evidently, investors allege sales practice violations […]

Soreide Law Group is investigating possible investor claims against securities broker Michelle Liao Wu [CRD: 3046373, San Jose, California]. Notably, FINRA sanctioned the securities broker, who worked for Principal Securities, concerning discretionary trading. Here is a brief summary of FINRA’s allegations against Wu. Wu Sanctioned By FINRA For Discretionary Trading Evidently, on June 16, 2023, […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Ronald Robert Walchack (also known as Ron Walchack) (CRD: 1016040, Sewickley, Pennsylvania). Not only has FINRA sanctioned Walchack for failing to testify when FINRA investigated him for potential FINRA rule violations on suitability, but investors disputed his sales practices. However, Walchack denies the […]