Investors might have sustained losses because of securities broker Salvatore Bonetti [CRD: 4494241, Westbrook, Maine], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Bonetti joined Cetera Wealth Services LLC and Cetera Investment Advisers LLC on June 30, 2025. Previously, he worked for Insight Folios, Purshe Kaplan Sterling Investments, and MML Investors Services […]

One or more investors might have sustained losses because of securities broker John Colwell Kauzlarich (also known as Jake Kauzlarich) [CRD: 5096866, Overland Park, Kansas], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Kauzlarich has worked with Park Avenue Securities LLC since August 14, 2008, and has also served as an investment adviser […]

Investors potentially sustained damages through securities broker Ricki Jay Silverman [CRD: 1219439, Fort Lauderdale, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Silverman worked for Morgan Stanley from October 20, 2011, to July 8, 2022. Below, you’ll find a summary of the securities broker’s disclosures. Morgan Stanley Investor Accused Silverman Of […]

Investors possibly experienced losses because of securities broker Ariel A. Rivero [CRD: 4236679, Coral Gables, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Ariel Rivero joined Insigneo Securities LLC on December 16, 2021, and Insigneo Advisory Services LLC on December 22, 2021. Previously, he worked for Leucadia Asset Management LLC from […]

Soreide Law Group is investigating possible investor claims against Richard F. Spettell (also known as Richard Frederic Spettell) (CRD: 1686392, New York, New York). Notably, FINRA sanctioned the securities broker, who worked for Morgan Stanley. Allegedly, Spettell caused the securities firm to maintain false records or books. Here is a brief summary of FINRA’s allegations […]

Soreide Law Group is investigating possible investor claims against securities broker Patrick Keith Sloan (also known as Sloan Patrick) (CRD: 6466410, Kewanee, Illinois). Evidently, FINRA sanctioned the securities broker, who worked for LPL Financial LLC. Allegedly, Sloan falsified client information. Here is a brief summary of FINRA’s allegations against Sloan. Patrick Sloan Sanctioned By FINRA […]

Soreide Law Group is investigating possible investor claims against securities broker Ellen Gayle Reynard (CRD: 6148906, Beaumont, Texas). Evidently, FINRA sanctioned the securities broker, who worked for Raymond James Financial Services Inc. Allegedly, Reynard falsified client information. Here is a brief summary of FINRA’s allegations against Reynard. FINRA Suspends Reynard For False Client Information Particularly, […]

Soreide Law Group is investigating possible investor claims against securities broker Stephen Tosha (also known as Stephen Patrick Tosha) [CRD: 5970854, Dallas, TX]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck disclosed that investors complained about the securities broker, who worked for Merrill Lynch Pierce Fenner Smith Incorporated. CA Dept. Of Insurance Sanctions Stephen Tosha Over […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Zach Hansen (also known as Zachary Hansen) (CRD:  5553180, Denver, CO). Not only has FINRA sanctioned Hansen for False Records Or Books, but investors disputed the sales practices of the securities broker. However, Hansen denies the allegations. Read on to learn more about […]