Latest Securities Lawyer News

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June 22, 2023
Investors Complained About Jonathan Ebel

Soreide Law Group is investigating possible investor claims against securities broker Jonathan Michael Ebel (CRD: 5902719, Melville, New York). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Laidlaw Company (Uk) Ltd. Supposedly, one or more individuals claim that Ebel made unsuitable recommendations […]

July 7, 2022
Peter Budd In Benjamin F. Edwards Client Disputes

Benjamin F. Edwards Clients File Disputes About Broker Peter Budd Investment loss recovery counsel at Soreide Law Group provides you with new information on securities broker Peter Charlton Budd aka “Jay Budd” (CRD#: 1337006, Morristown, New Jersey). Notably, Budd discloses information about investor disputes on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Budd was a […]

July 7, 2022
Tim Higgins Facing FINRA Complaint Over Investigation

Broker Tim Higgins (Spartan Capital) Facing FINRA Complaint Relating To Investigation FINRA BrokerCheck indicates that investors alleged improper sales practices involving securities broker Timothy Patrick Higgins “Tim Higgins” (CRD#: 2282547, Indianapolis, Indiana) and that those violations resulted in damages. Evidently, Higgins most recently worked as a Spartan Capital Securities broker from 2015 to 2020. Formerly, […]

May 8, 2022
Shane Falcon Involved In NSC Investor Dispute

Broker Shane Falcon (National Securities Corp) Faces Investor Disputes Involving Private Placements, Equities The Financial Industry Regulatory Authority (FINRA) provides important information in regard to securities broker Shane Rene Falcon (CRD#: 5626256, Miami, Florida). Evidently, Falcon worked at GunnAllen Financial and CBG Financial Group before joining National Securities Corporation. Evidently, he worked at National Securities […]

February 1, 2022
Howard Allen (Portfolio Advisors Alliance) Facing Disputes

Portfolio Advisors Alliance Client Alleges Sales Practice Violations By Broker Howard Allen Soreide Law Group comes to you with important information about securities broker Howard Joseph Allen (CRD#: 2033586, New York, New York). BrokerCheck confirms that Allen worked as a securities broker for Portfolio Advisors Alliance LLC from January 2009 to December 2019. So far […]

January 4, 2022
Mel Coffey Facing FINRA Investigation Over Trading

FINRA Investigates Securities Broker Mel Coffey's Trading For Suitability The Soreide Law Group has important information to share with you in regard to securities broker Arthur Mel Coffey (“Mel Coffey”) (CRD#: 2553466, Miller Place, New York). Specifically, Coffey, who worked for securities firms Legend Securities, First Standard Financial Company, and SW Financial, is under investigation […]

December 10, 2021
Serge Parakhnevich Reports Sanctions And Investor Disputes

FINRA Suspends Securities Broker Serge Parakhnevich, And Investors Dispute His Sales Practices FINRA BrokerCheck shows that FINRA sanctioned securities broker Serge Parakhnevich (“Serge Parker”) (CRD#: 5493064, New York, New York) for trading without authorization. Moreover, Parakhnevich is facing investor disputes which allege excessive and unsuitable trading. Let’s take a look at these disputes, including what […]

December 8, 2021
Sean Parikh Fined, Targeted In Aegis Client Disputes

Broker Sean Parikh Fined For Excessive Trading, Faces Aegis Client Disputes Alleging Unsuitability Soreide Law Group comes to you with an update regarding the FINRA BrokerCheck disclosures relating to Aegis Capital Corp securities broker Kishan Parikh (“Sean Parikh”) (CRD#: 5506554, New York, New York). It appears that FINRA suspended Parikh as a securities broker between […]

October 25, 2021
Mike Leahy Suspended, Involved In Investor Disputes

Securities Broker Mike Leahy Sanctioned By FINRA, Ordered To Pay Client Compensation For Failure To Supervise Soreide Law Group has come across the Financial Industry Regulatory Authority (“FINRA”) BrokerCheck profile of securities broker Michael Leahy “Mike Leahy” (CRD#: 1899498, Red Bank, New Jersey). It seems that the regulator suspended Leahy as a securities broker in […]

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