Suffered Investment Losses From Ameriprise Broker Jason Tuberosa? Soreide Law Group is investigating potential claims on behalf of those who invested with Jason Richard Tuberosa (CRD#: 1277676, Sun City Center, Florida), who is a securities representative and supervisor for Ameriprise Financial Services, Inc. Jason Tuberosa commenced employment at Ameriprise Financial Services offices in Sun City […]

Customers File Disputes Involving UBS Financial Services’ Pedro Pons Pedro J. Jose Pons (CRD#: 2495983, San Juan, Puerto Rico) is a prior general securities representative of UBS Financial Services Inc. Throughout Pedro Pons’s employment, he serviced the investment accounts of approximately 19 customers that complained about his activities. A brief summary of Pedro Pons pending […]

Pruco Terminates Brokers Michael Pineda, Donna Guglielmi, Rajen Sheth Pruco Securities, LLC (CRD#: 5685) is a Financial Industry Regulatory Authority (“FINRA”) regulated brokerage firm and (“SEC”) regulated investment adviser firm. Pruco Securities, LLC’s main offices are in Newark, New Jersey. Since September 22, 2003, Pruco Securities has amassed 42 discloses regarding its alleged mishaps in […]

FINRA Hits Merrill Lynch With $300,000.00 Fine For Failure To Supervise The Financial Industry Regulatory Authority (“FINRA”) has issued a fine and $300,000.00 fine and censure to Merrill Lynch, Pierce, Fenner & Smith Inc. (CRD#: 7691, New York, New York) pursuant to Letter of Acceptance, Waiver and Consent #: 2014041490801, executed on December 13, 2018. […]

LPL Financial Sued By Investors Over Unsuitable Annuity Sales LPL Financial LLC (CRD#: 6413, Boston, Massachusetts) ) is a brokerage firm regulated by Financial Industry Regulatory Authority (“FINRA”) who has reported one hundred twenty-nine regulatory events concerning allegations of LPL Financial’s violations of regulations or rules in the securities industry. Additionally, LPL Financial has also […]

Buckman, Buckman & Reid, Inc. VP Investigated For Failure To Supervise Harry John Buckman Jr (CRD#: 2202467, Little Silver, New Jersey) is presently the senior vice president of Buckman, Buckman & Reid, Inc., a brokerage firm regulated by Financial Industry Regulatory Authority (“FINRA”) with main offices in Little Silver, New Jersey that conducts securities business […]

Capitol Securities Management Fined For Failing To Supervise Trading In Unit Investment Trusts Capitol Securities Management, Inc. (CRD #14169, Glen Allen Virginia) consented to being censured by Financial Industry Regulatory Authority (“FINRA”) and paying a $100,000 fine pursuant to a Letter of Acceptance, Waiver and Consent (“AWC”) #2017052215401 that was executed on May 25, 2018. […]