Investors apparently complained about securities broker Daniel Theodore Wilson [CRD: 2858765, Mystic, Connecticut], based on publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Daniel Wilson worked for Ameriprise Financial Services LLC from April 8, 1997, to the present as a broker, and since May 26, 2011, as a financial advisor. Read on […]

Soreide Law Group has been contacted by investors who allegedly suffered losses after purchasing high risks stocks recommended by broker/investment advisor, WILLIAM JEFFREY CARLTON (WILLIAM J CARLTON, W JEFFREY CARLTON, JEFFREY CARLTON). Carlton has been registered with AEGIS CAPITAL CORP. of Melville, New York, since 12/21/2023.  From 09/21/2007 - 01/12/2024, WILLIAM J CARLTON was registered […]

Investors might have sustained losses due to securities broker Mitchell Manoff [CRD: 815314, New York, New York], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Mitchell Manoff has been registered with Corinthian Partners LLC since July 2, 1996. See the following information to find out more about the disclosures involving […]

Investors potentially experienced sales practice violations due to securities broker Sean P. Righter [CRD: 5419832, Irvine, California], according to disclosures on FINRA BrokerCheck. Righter worked for Morgan Stanley from June 1, 2009 to February 12, 2025. Read on to understand more about the disclosures involving this broker. Morgan Stanley Smith Barney Investor Accused Righter Of […]

Comerica Investors Allege Sales Practice Violations By Securities Broker Ed Torriente Soreide Law Group is investigating potential investor claims against securities broker William Edward Torriente Jr. (known as Ed Torriente and Eddy Torriente) (CRD#: 4255814, Phoenix, Arizona). It appears that Torriente worked for Comerica Securities Inc. from 2009 to 2020. Notably, three clients of Comerica […]

Soreide Law Group obtained the following information on FINRA’s November 2017 Disciplinary Report: Mark Sherman Perry (CRD #1219294, Mt. Pleasant, South Carolina) was suspended by FINRA for 18 months. Due to Perry’s financial status, no monetary sanction was imposed following allegations that Perry made unsuitable investment recommendations to four elderly, retired clients. FINRA’s findings stated […]

Soreide Law Group, based in Florida, obtained the following information, available to the public on FINRA’s website, from FNRA’s Disciplinary Actions of September, 2017, regarding Florida broker:  Daniel Joseph Hushek III (CRD #4250117, Bradenton, Florida)   Hushek was assessed a deferred fine of $10,000 and suspended by FINRA for 15 months for allegedly failing to […]

EDWARD THOMAS MURPHY CRD#: 3041818 was barred by FINRA from acting as a broker or otherwise associating with firms that sell securities to the public. Murphy failed to respond to FINRA’s request for information. According to FINRA’s BrokerCheck, Edward T Murphy has multiple Customer Disputes with alleged client complaints between 2008–2013, including, but not limited […]

Soreide Law Group obtained the following information from FINRA’s Disciplinary Report from July 2017: Edward Thomas McFarlane (CRD #2492335, Glenside, Pennsylvania) was fined $5,000 and suspended by FINRA for two months for allegedly recommending and effecting unsuitable transactions involving inverse, leveraged, and inverse-leveraged exchange-traded funds (non-traditional ETFs) in clients’ accounts. FINRA’s findings stated that the […]