FINRA sanctioned securities broker Maria Pia Acevez Perez (CRD: 2981386, Miami, Florida). Evidently, the securities broker, who worked for VectorGlobal WMG, disclosed a regulatory action on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Allegedly, Perez failed to comply with FINRA in a timely manner concerning an investigation. For more about this regulatory action against Reese, see […]

Soreide Law Group is investigating possible investor claims against securities broker Dominic John Scalzi (CRD: 1689662, New York, New York). Evidently, FINRA sanctioned the securities broker, who worked for Deutsche Bank Securities Inc. Allegedly, Scalzi failed to respond to FINRA’s request for information. Here is a brief summary of FINRA’s allegations against Scalzi. Scalzi Barred […]

Soreide Law Group is investigating possible investor claims against securities broker Bradley Morgan Holts (also known as Brad Holts) (CRD: 5819398, Denver, Colorado). Particularly, SEC filed a Complaint against the securities broker, who worked for World Capital Brokerage Inc. Allegedly, Holts misappropriated funds. Here is a brief summary of SEC’s allegations against Holts. SEC Charges […]

Soreide Law Group is investigating possible investor claims against securities broker Eddy C. Chou (CRD: 4685418, San Francisco, California). Evidently, FINRA sanctioned the securities broker, who worked for Ameriprise Financial Services LLC. Allegedly, Chou failed to respond to FINRA’s request for information. Here is a brief summary of FINRA’s allegations against Chou. FINRA Bars Chou […]

Soreide Law Group is investigating possible investor claims against securities broker Rosemary Vrablic (CRD: 4359776, New York, New York). Notably, FINRA sanctioned the securities broker, who worked for Deutsche Bank Securities Inc. Allegedly, Vrablic failed to respond to FINRA’s request for information. Here is a brief summary of FINRA’s allegations against Vrablic. Vrablic Sanctioned By […]

Soreide Law Group is investigating possible investor claims against securities broker Bobby Sullins (CRD: 4173425, Pell City, Alabama). Notably, FINRA sanctioned the securities broker, who worked for BBT Securities LLC. Allegedly, Sullins failed to respond to FINRA’s request for information. Here is a brief summary of FINRA’s allegations against Sullins. FINRA Sanctions Sullins For Failure […]

Soreide Law Group is investigating possible investor claims against securities broker Carlos Leston (also known as Jose Carlos Leston) (CRD: 3021614, Weehawken, New Jersey). Notably, FINRA sanctioned the securities broker, who worked for LPL Financial LLC. Allegedly, Leston failed to provide information and documents to FINRA when it investigated potential FINRA rule violations. Here is […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Anthony Vincent DiDonna (CRD: 7283414, Woodbury, New York). Not only has FINRA sanctioned Didonna for failing to respond to FINRA’s request for information, but investors disputed his sales practices. However, Didonna denies the allegations. Read on to learn more about the allegations against […]

Soreide Law Group has learned of possible investor claims against securities broker Cory Tinsley (CRD: 4434244, Rochester, New York). Particularly, FINRA sanctioned the securities broker, who worked for Farmers Financial Solutions LLC. Allegedly, Tinsley failed to respond to FINRA’s request for information. Not only that, but Farmers Financial Solutions terminated his registration. Here is a […]