Soreide Law Group is investigating potential investor disputes pertaining to securities broker Vincent Leonard Petrangelo (CRD#: 2866580, Springfield, Massachusetts). Evidently, Petrangelo worked for securities firms NYLife Securities, Morgan Stanley, Raymond James & Associates (2006 to 2018 as both financial advisor and securities broker), and Ameriprise Financial Services (2018 to present). Notably, six investors disputed Petrangelo's […]

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 […]

Investor Alleges Sales Practice Violations By Money Management Advisory's Edgar Mock Soreide Law Group comes to you with new information in regard to securities broker Edgar Davis Mock (CRD#: 1309680, Feasterville, PA). Namely, an investor alleged sales practice violations, including breach of fiduciary duty, in a dispute involving Mock. This concerns Mock's actions at Money […]

Soreide Law Group obtained the following information from FINRA’s January of 2022 Disciplinary Report on the former WYNSTON HILL CAPITAL LLC of Fletcher, North Carolina, broker: CRAIG JAY SHERMAN (CRD #5670193, Fletcher, North Carolina) On November 12, 2021, an AWC was issued in which CRAIG JAY SHERMAN was assessed a deferred fine of $5,000, suspended […]

Voya Financial Advisors Clients Allege Failure To Supervise In Disputes About Securities Broker Ronnie Metcalf The Financial Industry Regulatory Authority (FINRA) reports important information relating to securities broker Ronald Franklin Metcalf Jr. (“Ronnie Metcalf”) (CRD#: 1280602, Greenville, South Carolina). Evidently, until June 2021, Metcalf worked for Voya Financial Advisors as a securities broker and financial […]

Alexander Capital's Barry Eisenberg Sanctioned By SEC, Involved In Disputes Alleging Failure To Supervise Investors have come forward to dispute the sales practices of securities broker Barry Todd Eisenberg (CRD#: 2313107, New York, New York). Specifically, FINRA shows that two investors – clients of JP Turner and Alexander Capital – filed disputes. Secondly, United States […]

FINRA Bars America Northcoast's Christopher Barone Soreide Law Group wants you to be aware that securities broker Christopher Richard Barone (CRD#: 2032268, Houston, Texas) – the CEO and COO of America Northcoast Securities – is disqualified from being a FINRA broker effective January 23, 2020. Notably, FINRA barred Barone for misrepresenting his supervision of trade […]

Investors Suggest Joseph Gunnar CEO Joseph Alagna Failed To Supervise Investors have come forward with complaints about securities broker Joseph Alagna Jr. [CRD#: 1840339, New York, New York]. Apparently, the securities broker, who currently serves as Chief Executive Officer of Joseph Gunnar, discloses 3 investor disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Apparently, Joseph […]

Santander Securities' Jaime Echandi Allegedly Sold Bad Puerto Rico Bonds And Funds The Financial industry Regulatory Authority (“FINRA”) reports myriad investors disputing the sales practices of former Santander Securities LLC broker Jaime Echandi (aka “Jaime Santiago”) (CRD#: 2464033, Guaynabo Puerto Rico). Specifically, his BrokerCheck report shows that 23 investors complained since 2014, with most disputes […]