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 […]

FINRA Suspends Broker Brian Harte For Discretionary Trading Soreide Law Group provides you this update in regard to a problem securities broker by the name of Brian Joseph Harte (CRD#: 4780629, Alexandria Virginia). Notably, FINRA suspended the E1 Asset Management securities broker twice. Also, Harte is the target of four investor disputes. All together, these […]

Investment Planners Broker Jim Parrelly Supposedly Caused Investors' Losses Investor Alert! Financial Industry Regulatory Authority (“FINRA”) shows that James “Jim” Anthony Parrelly (CRD#: 728368, Dearborn, Michigan) is a problem securities broker. Notably, there are 12 disclosures on Parrelly’s record which all suggest that he did something wrong. This includes not just investor complaints or lawsuits […]

Broker James Kearney Purportedly Makes Unauthorized And Unreasonable Trades The Financial Industry Regulatory Authority (“FINRA”) reports troubling allegations of misconduct by James Joseph Kearney (CRD#: 265734, Houston, Texas). Namely, Kearney violated FINRA rules on trading and faced the financial watchdog’s suspension and fine as a result. Not only that, but four investors filed disputes about […]