Soreide Law Group is investigating possible investor claims against securities broker Thomas Hallberg (also known as Tom Hallberg) [CRD: 3053755, Forest Lake, Minnesota]. Notably, FINRA sanctioned the securities broker, who worked for Edward Jones. Allegedly, Hallberg made discretionary trades. Here is a brief summary of FINRA’s allegations against Hallberg. FINRA Sanctions Edward Jones’ Thomas Hallberg […]

The Financial Industry Regulatory Authority (FINRA) important information relating to securities broker Scott Neil Hananel [CRD #: 3080827, Melville, NY]. Hananel worked for (1) Aegis Capital Corp from 2010-2021; (2) GunnAllen Financial Inc. from 2005-2010; and (3) Milestone Group Management from 2002-2005. Evidently, Aegis Capital Corp. investors disputed the sales practices of the securities broker. […]

Soreide Law Group comes to you with new information regarding securities broker Neil David Berlant (CRD#: 19550, Los Angeles, California). Namely, FINRA sanctioned the securities broker, who worked for D.A. Davidson & Co. (DADCO) between November 2013 and June 2020. Also, his employer discharged him in May 2020, and a client complained about his sales […]

The Financial Industry Regulatory Authority (FINRA) contains important information regarding securities broker Bradley S. Lay, who is also known as Brad Lay (CRD#: 4633746, Franklin, Tennessee). Evidently, Lay is listed on BrokerCheck as having worked for Raymond James as a securities broker and financial advisor (2013 to 2019) and SA Stone Wealth Management as a […]

Securities Broker Wills Henriquez Sanctioned And Involved In Investor Disputes Soreide Law Group comes to you with new information regarding securities broker Henriquez (CRD#: 1872198, Brooklyn, New York). Wills Schneider Henriquez worked for Network 1 Financial Securities from 2013 to 2018. During that time, Henriquez worked with a client who later complained. Other disputes on […]

Cetera Advisor Networks Discharges Kirk Knollman Over Discretionary Trading Allegations The Financial Industry Regulatory Authority (FINRA) contains important disclosures concerning securities broker Kirk William Knollman (CRD#: 2089445, Loveland, Ohio). Notably, Cetera Advisor Networks LLC discharged him as a securities broker. Also, two investor disputes allege unsuitable trading. One concerns Knollman’s actions at Cetera, while the […]

FINRA Issues Suspension To Mike Hartlett For Discretionary Trading At LPL Financial Soreide Law Group is investigating possible investor claims or disputes against LPL Financial securities broker Michael Miles Hartlett (“Mike Hartlett”) (CRD#: 1022139, East Petersburg, Pennsylvania). Namely, the Financial Industry Regulatory Authority (FINRA) suspended and fined Hartlett for allegedly making discretionary trades in violation […]

Wedbush Securities Broker Marc Winters Barred By FINRA For Not Responding To Regulator's Request Soreide Law Group has important information to share with you regarding securities broker Marc Winters (CRD#: 4053113, Los Angeles, California). Notably, Financial Industry Regulatory Authority (“FINRA”) barred Winters, who worked as a securities broker for Wedbush Securities from 2004 to 2020. […]

Broker Steve Colacurcio Suspended By FINRA Soreide Law Group provides you this investor alert in regard to securities broker Steven Colacurcio (CRD#: 1717483, Boca Raton, Florida). Notably, FINRA reports that the securities broker, who joined Dawson James Securities in 2009, faced a suspension for making bad trades. Not only that, but Colacurcio has racked up […]