Worden Capital Managment Clients File Disputes Concerning Broker Christ Baltas The Financial Industry Regulatory Authority (“FINRA”) reported that investors filed disputes about securities broker Christ Elias Baltas (CRD#: 2570499, Melville, New York). Namely, two investors filed disputes about Baltas’ sales practices. Those disputes seem to concern his actions while working for Worden Capital Management (Melville, […]

Aegis Clients Call Attention To Securities Broker Thomas Duggan In Investor Disputes Financial Industry Regulatory Authority (“FINRA”) BrokerCheck contains important disclosures regarding securities broker Thomas Duggan (CRD#: 2757615, Melville, New York) that is relevant to investors. Specifically, investor disputes alleging excessive trading, unsuitable trading and unauthorized trading are on the record of the securities broker, […]

Securities Broker Michael Giovannelli Targeted In Investor Disputes Soreide Law Group is contemplating possible investor claims or lawsuits regarding the sales practices of Michael John Giovannelli (CRD#: 4989449, Garden City, New York). Specifically, Giovannelli worked for Spartan Capital who disaffiliated with him in July 2020 for unauthorized trading. Not only that, but investors who held […]

Broker Brian Roth Reportedly Breached A Fiduciary Duty To Investors And Made Bad Investment Recommendations The investment loss lawyers at Soreide Law Group provide you this investor alert in regard to problem securities broker Brian Robert Roth (CRD#: 4607595, Chester, New Jersey). Apparently, no less than three investors filed disputes about the securities broker, who […]

SW Financial Broker Douglas Leone Sanctioned Again By Financial Watchdog The Financial Industry Regulatory Authority (“FIRNA”) announced that it again sanctioned Salomon Whitney Financial securities broker Douglas A. Leone (CRD#: 2453784, Melville, New York). The watchdog’s move comes after prior infractions – all of which resulted in him being barred. Not only that, but seven […]

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 […]

Broker Todd Henrich Made Unsuitable, Unauthorized Transactions Clients who held accounts with securities broker Todd Joseph Henrich (CRD#: 5931911, Iselin, New Jersey) disputed his sales practices. Notably, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck shows that 3 or more clients filed lawsuits about the sales practices of the securities broker, who worked for National Securities Corporation […]

Broker Gabe Block's License Revoked By NJ Securities Bureau Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) shows troubling information in regard to securities broker Gabriel “Gabe” Block (CRD#: 2103543, Red Bank, New Jersey). Not only has New Jersey Bureau of Securities issued a $750,000 fine to Block and revoked his license for allegedly engaging […]

Soreide Law Group obtained the following complaint on FINRA’s website under, “Disciplinary and Other FINRA Actions, January 2017.” (Issuance of a disciplinary complaint represents FINRA’s initiation of a formal proceeding in which findings as to the allegations in the complaint have not been made, and does not represent a decision as to any of the […]