The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Nigel James (CRD: 4490687, Garden City, New York). Not only has FINRA sanctioned James for engaging in excessive and unsuitable trading, but investors disputed his sales practices. However, James denies the allegations. Read on to learn more about the allegations against James. James […]

Soreide Law Group is investigating possible investor claims against securities broker Christopher Thomas Eriksson (CRD: 2487298, Wayzata, Minnesota). Notably, FINRA sanctioned the securities broker, who worked for Merrill Lynch Pierce Fenner Smith Inc. Allegedly, Eriksson borrowed client funds and engaged in an undisclosed outside business activity. Here is a brief summary of FINRA’s allegations against […]

Soreide Law Group is investigating possible investor claims against securities broker Leonid Yurovsky (also known as Lenny Yurovsky) (CRD: 4554905, Mineola, New York). Particularly, FINRA sanctioned the securities broker, who worked for Joseph Stone Capital LLC. Allegedly, Yurovsky engaged in unsuitable and excessive trading. Here is a brief summary of FINRA’s allegations against Yurovsky. FINRA […]

Soreide Law Group has learned of possible investor claims against securities broker Robert John Palatella (CRD: 1492207, La Jolla, California). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Wells Fargo Clearing Services LLC. Evidently, investors allege sales practice violations in these disputes, […]

Soreide Law Group is looking into possible investor claims against securities broker David William Jack (CRD: 2415526, Paramus, New Jersey). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Morgan Stanley. Evidently, investors allege sales practice violations in these disputes, including that Jack […]

FINRA reports important information about securities broker Jesus Manuel Bravo (CRD: 2838164, Plainview, New York). Not only has FINRA sanctioned Bravo for making unsuitable recommendations, but investors disputed the sales practices of the securities broker. However, Bravo denies the allegations. Read on to learn more about the allegations against Bravo. FINRA Sanctions Bravo For Unsuitable […]

Investors have come forward with complaints about Kumail Abbas (also known as Ken Abbas) (CRD: 5722935, Melville, New York). Particularly, the securities broker, who worked for Laidlaw Company (UK) Ltd., discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Laidlaw Company (UK) Ltd. clients allege that Abbas engaged in excessive trading, charged excessive […]

Soreide Law Group is investigating possible investor claims against securities broker Todd Kling (also known as Todd Franklin Kling) [CRD: 3034284, New York, NY]. Mainly, FINRA sanctioned the securities broker, who worked for Joseph Stone Capital LLC. Allegedly, Kling made excessive trades. Here is a brief summary of FINRA’s allegations against Kling. FINRA Sanctions Todd […]

Soreide Law Group is investigating possible investor claims against securities broker Robert Foley (also known as Robert Patrick Foley) [CRD: 6060234, Red Bank, NJ]. Evidently, FINRA sanctioned the securities broker, who worked for Wynston Hill Capital LLC. Allegedly, Foley failed to supervise registered representatives. Here is a brief summary of FINRA’s allegations against Foley. FINRA […]