Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Richard W. Brown [CRD: 1595628, Fort Myers, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Brown worked for Summit Brokerage Services from May 2, 2003, to September 20, 2019. Continue reading to learn more […]

Investors might have sustained losses due to Joseph C. Desapio [CRD: 5837553, New York, New York], and FINRA sanctioned the securities broker, based on the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Joseph Desapio worked for Spartan Capital Securities LLC from May 5, 2017, to July 27, 2022. He was discharged when Spartan […]

Regulators have sanctioned securities broker Frank Levi Martin (also known as Frange Martin and Frangel Martinez) [CRD: 2859847, Brooklyn, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Martin joined LPL Financial LLC on July 26, 2019. Continue reading to learn more about Martin's disclosures. Maryland Regulator Sanctioned Martin For Supervision […]

Soreide Law Group is reviewing potential investor claims on behalf of individuals who incurred losses from securities broker Troy Allen Orlando [CRD: 6055474, New York, New York]. Evidently, Orlando worked for various firms, including Craft Capital Management LLC, Joseph Gunnar Co. LLC, Joseph Stone Capital L.L.C., Worden Capital Management LLC, and Spartan Capital Securities LLC, […]

Soreide Law Group is reviewing potential investor claims on behalf of individuals who incurred losses from securities broker Joao Amorim Pinto [CRD: 6298233, New York, New York]. Pinto has worked for Spartan Capital Securities LLC since October 22, 2019. Read below to learn more about Pinto’s disclosures, which include FINRA sanctions and an investment dispute. […]

Investors may have encountered financial setbacks due to the actions of Tory Duggins [CRD: 4556340, New York, New York], based on disclosures found on the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Duggins was previously registered with Spartan Capital Securities LLC in New York, NY, from February 29, 2016, to January 31, 2024. Read on […]

Soreide Law Group is evaluating potential claims for investors who've faced losses due to Keith Matthew Kordich [CRD: 2743797, Boca Raton, Florida]. Kordich has been associated with Ameriprise Financial Services LLC since January 2019, after his time with Morgan Stanley. Notably, the FINRA BrokerCheck report on Kordich reflects several client disputes, particularly involving claims of […]

Soreide Law Group is investigating potential claims on behalf of individuals who have encountered losses through James Bernthal [CRD: 4871243]. Evidently, he joined Aegis Capital Corp in New York, New York in 2020. Bernthal was also employed with Dawson James Securities Inc. in the same city from 2016 to 2020. Investors are advised to carefully […]

Soreide Law Group is looking into potential claims on behalf of investors who may have endured financial losses due to Christopher Booth Kennedy [CRD: 4498061, Woodland Hills, California]. Evidently, Kennedy worked for Western International Securities Inc. from December 2, 2019, to September 27, 2021. Investors can review the following disclosures about Kennedy’s conduct in the […]