Disputes Filed By Investors Of NSC, Aegis Concerning Securities Broker Johnny Guan Soreide Law Group comes to you with important information regarding securities broker Johnny Guan (CRD#: 5711977, Red Bank, New Jersey). It appears on Financial Industry Regulatory Authority (FINRA) BrokerCheck that Guan is involved in four investor disputes. Evidently, the securities broker, who worked […]

Clients Of Hilltop Securities Dispute Sales Practices Of Broker Walter Valenzuela Soreide Law Group has new information to share with you concerning securities broker Walter Roland Valenzuela (CRD#: 2280224, San Diego, California). Evidently, 14 investors filed disputes about this securities broker. It appears that six investors filed disputes since 2020 alleging sales practice violations by […]

FINRA Bars Christopher Orlando For Allegedly Making Unsuitable Trades In Worden Client Accounts The Financial Industry Regulatory Authority (FINRA) shows through BrokerCheck that it barred securities broker Christopher George Orlando (CRD#: 4136262, New York, New York). Evidently, Orlando worked for firms Worden Capital Management (2016 to 2019), St. Bernard Financial Services (2019 to 2020), and […]

Morgan Stanley Investor Disputes Concern Securities Broker Bill Collins Soreide Law Group comes to you with new information regarding securities broker William Lief Collins (CRD#: 2787822, Birmingham, MI). Evidently, the Financial Industry Regulatory Authority (“FINRA”) indicates that Collins is a Morgan Stanley financial advisor (June 2010 to present) and Morgan Stanley securities broker (May 2010 […]

FINRA Investigating Securities Broker David Melilli (SagePoint, Cambridge Investment Research) Soreide Law Group provides you with important investor-related information in regard to securities broker David John Melilli (CRD#: 5254172, Moorestown, New Jersey). Evidently, Melilli worked for SagePoint Financial from 2010 to 2019, LPL Financial in 2018, and Cambridge Investment Research from 2019 to 2020. Namely, […]

Morgan Stanley Clients Take Aim At Broker Jeffrey Cadan Regarding Suitability, Excessive Trading New investor disputes have emerged on the Financial Industry Regulatory Authority (FINRA) BrokerCheck report for securities broker Jeffrey Neil Cadan (CRD#: 2726285, New York, New York). It appears that three clients filed disputes in 2020, and a number of additional disputes have […]

Melinda Abood (UBS Financial Services) Targeted In Investor Disputes The Financial Industry Regulatory Authority (“FINRA”) reports troubling information in regard to securities broker Melinda Joyce Abood (CRD#: 867463, New York, New York). Namely, the securities broker and financial advisor, who joined UBS Financial Services in April 1986, is involved in five investor disputes. Here’s more […]

Worden Capital Investors File Disputes About Securities Broker John LoPinto It appears that investors have come forward in dispute of securities broker John Michael LoPinto (CRD#: 4563735, New York, New York). In total, Financial Industry Regulatory Authority (“FINRA”) reveals that four investors took aim at LoPinto alleging sales practices violations. SEC also sanctioned him. Here’s […]

Spartan Capital Securities Broker Albert Foronda Sanctioned By FINRA, Involved In Investor Disputes Soreide Law Group has come across troubling information in regard to securities broker Albert Foronda (CRD#: 5737620, New York, New York). Evidently, the securities broker worked for Spartan Capital Securities LLC (August 2017 to present), Worden Capital Management LLC (2016 to 2017) […]