Soreide Law Group is investigating possible investor claims against securities broker Thomas Wilson Murray [CRD#: 1186933, Pasadena, California]. Specifically, FINRA BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Wachovia Securities, First Union Securities, and Morgan Stanley. Evidently, one or more clients allege sales practice violations in these disputes, […]

FINRA reports allegations of sales practice violations by securities broker Steven Mackie Woods AKA Steven Woods [CRD#: 5715598, New York, New York]. Evidently, clients disputed the sales practices of the securities broker, who worked for Laidlaw Company (UK) Ltd. However, Woods denies the allegations of sales practice violations. Read on to learn more about the […]

Soreide Law Group is investigating possible investor claims against securities broker David Michael Murray [CRD#: 1870050, New York, New York]. Specifically, FINRA BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Laidlaw Company (UK) Ltd. and HD Brous Co. Evidently, one or more clients allege sales practice violations in […]

Soreide Law Group is investigating possible investor claims against securities broker Eric Edward Nicolassy [CRD#: 6244539, Red Bank, New Jersey]. Evidently, FINRA sanctioned the securities broker, who worked for Woodstock Financial Group. Notably, FINRA's accusations against the securities broker include excessive and unsuitable trading. Also, an investor filed a dispute about him. Here's more about […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows important information about securities broker Robert Hayes Hoffmann (CRD#: 4008798, Indianapolis, Indiana). Evidently, Hoffmann worked for securities firms Robert W. Baird & Co. Incorporated, Northwestern Mutual Investment Services, LLC, Woodbury Financial Services, Inc., and Thurston, Springer, Miller, Herd & Titak, Inc. Notably, at least 4 investors complained about […]

Sanctions, Investor Disputes Reported On BrokerCheck Record Of Adam Maggio Soreide Law Group is examining investor complaints concerning securities broker Adam Maggio (CRD#: 4177365, Mineola, New York). It appears that disclosures concern JP Turner Company (his employer from 2005 to 2008). They also concern Joseph Stone Capital (his employer since 2013). Here is an overview […]

Clients Of Morgan Stanley Allege Excessive, Unsuitable Trading By Neil Kaplan Soreide Law Group comes to you with new information relating to the FINRA BrokerCheck disclosures on securities broker Neil Stanley Kaplan (CRD#: 1615516, Bethesda, Maryland). Particularly, Kaplan worked as a Morgan Stanley securities broker from 2009 to 2017. Here is a brief summary of […]

Broker Bruce Ciallella Discloses Summit Brokerage Client Disputes Soreide Law Group comes to you with new information on FINRA BrokerCheck in regard to securities broker Bruce Anthony Ciallella (CRD#: 719050, Boca Raton, Florida). Evidently, Ciallella worked for securities brokers Merrill Lynch, Summit Brokerage Services (2005 to 2017), IFS Securities (2017 to 2019), and Cabot Lodge […]

Securities Broker James Mariani Involved In Aegis Investor Disputes The Financial Industry Regulatory Authority (FINRA) contains important information regarding securities broker James J. Mariani (CRD#: 2932631, Mineola, New York). Evidently, Mariani worked for securities firms National Securities Corporation (2007 to 2017) and Aegis Capital Corp. (2017 to 2021). Notably, ten investors filed disputes alleging sales […]