Soreide Law Group is investigating possible investor claims against securities broker William Torriente AKA Ed Torriente and Eddy Torriente [CRD#: 4255814, Phoenix, AZ]. Evidently, FINRA sanctioned the securities broker, who worked for Comerica Securities. Allegedly, Torriente failed to testify when FINRA investigated the stockbroker for possible violations of FINRA rules. Here is a brief summary […]

The Soreide Law Group, (888) 760-6552, has obtained the following summation of information from FINRA’s website listed under “Disciplinary and Other FINRA Actions, April, 2014.” Allen Hugo Reichman (CRD #1002285, Registered Representative, Irvington, New York) was barred by FINRA for failing to appear for FINRA testimony. FINRA's findings stated Reichman’s lawyer said in a phone […]

Soreide Law Group, (888) 760-6552, obtained the following summation of information on FINRA’s website under “Disciplinary and Other FINRA Actions, October, 2013.” Jason Robert Westfort (CRD #2975365, Registered Representative, Lake Worth, Florida) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Jason R. Westfort consented to the […]

Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552, obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, July, 2013.” Kapil Shashikant Shah aka Shah Shashikant Shah (CRD #4409290, Registered Principal, Jersey City, New, Jersey) was barred from association with any FINRA member in any capacity. The sanction was based […]

The following information appeared on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2013.” Joseph John Antosh Jr. (CRD #713649, Registered Representative, Brookfield, Connecticut) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Joseph Antosh consented to the described sanction and to the entry of findings […]

The following information appeared on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2013.” FINRA issued the following complaint. 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 […]

Soreide Law Group, PLLC, a Securities Arbitration Law Firm, (888) 760-6552, found the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, March, 2013.” Glen Edward Smith Jr. (CRD #1023145, Registered Principal, Lake Worth, Florida) was barred from association with any FINRA member in any capacity. Without admitting or denying the allegations, Smith […]

  Sean K. Hannon (CRD #4296260, Registered Representative, Cary, North Carolina)   has submitted an Offer of Settlement in which he was barred from association with any FINRA member in any capacity. Hannan, without admitting or denying FINRA's allegations, consented to the described sanction and to the entry of findings that he failed to provide investigative […]

The following information is from FINRA's website under, "Disciplinary and Other FINRA Actions, May, 2012." Philip Christopher Crescimanno (CRD #4412658, Registered Representative, Land O’Lakes, Florida) submitted an Offer of Settlement in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the allegations, Crescimanno consented to the described […]