Non-Compliance With Suitability Obligations In November 2022, FINRA sanctioned Western International Securities in Case: 2020067094001. The firm agreed to pay a fine of $400,000, among other things to resolve allegations that it neglected its duties in ensuring that its recommendations regarding Non-Traded Real Estate Investment Trusts (REITs) complied with its suitability obligations. Inadequate Supervisory Procedures […]

Soreide Law Group is investigating possible investor claims against Ron Yehuda Itin (CRD: 2344151, Jersey City, New Jersey). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for E1 Asset Management Inc. Here is a brief summary of the disclosures about Itin. Itin Faced […]

Soreide Law Group is investigating possible investor claims against Rande Scott Aaronson (CRD: 1758915, Lawrenceville, New Jersey). Notably, FINRA sanctioned the securities broker, who worked for David Lerner Associates Inc. Allegedly, Aaronson failed to supervise certain representatives. Here is a brief summary of FINRA’s allegations against Aaronson. Rande Aaronson Sanctioned By FINRA For Failure To […]

Soreide Law Group is investigating possible investor claims against securities broker Jeffrey Scott Graves (also known as Jeff Graves) (CRD: 1398578, Addison, Texas). Evidently, FINRA sanctioned the securities broker, who worked for FFEC Wealth Partners LLC. Allegedly, Graves failed to supervise. Here is a brief summary of FINRA’s allegations against Graves. Jeffrey Graves Suspended By […]

Soreide Law Group is investigating possible investor claims against securities broker Teresa Watkins Douberly (also known as Sharlene Douberly) (CRD: 2477566, Boca Raton, Florida). Evidently, FINRA sanctioned the securities broker, who worked for Aegis Capital Corporation. Allegedly, Douberly failed to supervise. Here is a brief summary of FINRA’s allegations against Douberly. FINRA Suspends Teresa Douberly […]

Soreide Law Group is investigating possible investor claims against securities broker Michael Girard Deluca (also known as Mike Deluca) (CRD: 4428054, Beaver Falls, Pennsylvania). Evidently, FINRA sanctioned the securities broker, who worked for Fortune Financial Services Inc. Allegedly, Deluca failed to supervise. Here is a brief summary of FINRA’s allegations against Deluca. Deluca Suspended By […]

Soreide Law Group is investigating possible investor claims against securities broker Matthew Shaughnessy (CRD: 2457058, Henderson, Nevada). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Ameriprise Financial Services LLC. Evidently, investors allege sales practice violations in these disputes, including that Shaughnessy engaged […]

Soreide Law Group has learned of possible investor claims against securities broker Christine Anne Warner (also known as Christine Anne Schneider) (CRD: 4001584, Mount Pleasant, Texas). Particularly, FINRA sanctioned the securities broker, who worked for Monticello Financial Group LLC. Allegedly, Warner failed to supervise registered representatives. Here is a brief summary of FINRA’s allegations against […]

Soreide Law Group is looking into possible investor claims against securities broker Patrick Anthony Perugino (also known as Pat Perugino) (CRD: 6363411, New York, New York). Particularly, FINRA sanctioned the securities broker, who worked for Spartan Capital Securities LLC. Allegedly, Perugino engaged in discretionary trading. Here is a brief summary of FINRA’s allegations against Perugino. […]