Soreide Law Group is investigating possible investor claims against securities broker Keith Craig Baron [CRD: 3231494, Jericho, New York]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Equity Services Inc. Evidently, investors allege sales practice violations in these disputes related to misappropriation. […]

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) sanctioned the following eight firms and 10 individuals, and ordered restitution totaling more than $3.2 million, for selling interests in private placement offerings without having a reasonable basis for recommending the securities. The firms and individuals sold interests in several high-risk private placements, including those issued by Provident Royalties, […]