Securities Broker Wil Rodriguez Involved In Wells Fargo Client's Dispute About Alleged Unauthorized Transactions Soreide Law Group comes to you with new information concerning Wells Fargo securities broker Rodriguez AKA “Wil Rodriquez” and “Wilfredo Rodriguez Jr.” (CRD# 2504369, Boca Raton, Florida). The Financial Industry Regulatory Authority (FINRA) BrokerCheck profile on Rodriguez shows that two investors […]

Broker Steven Maher Sanctioned, Involved In Investor Dispute Financial Industry Regulatory Authority (FINRA) discloses through BrokerCheck that it sanctioned securities broker Steven Maher (CRD#: 1011535, Oradell, New Jersey) and that an investor disputed Maher’s sales practices. Evidently, Maher worked for securities firms American General Securities Incorporated, Sagepoint Financial, and Next Financial Group. He joined American […]

Securities Broker Wills Henriquez Sanctioned And Involved In Investor Disputes Soreide Law Group comes to you with new information regarding securities broker Henriquez (CRD#: 1872198, Brooklyn, New York). Wills Schneider Henriquez worked for Network 1 Financial Securities from 2013 to 2018. During that time, Henriquez worked with a client who later complained. Other disputes on […]

Investor Brings Dispute About Securities Broker Hal Schwartz's Investment Strategy The Financial Industry Regulatory Authority (FINRA) contains important investor-related information concerning securities broker Harold Alan “Hal” Schwartz (CRD#: 841225, Winter Springs, Florida). Namely, the securities broker is involved in three investor disputes. Clients allege sales practice violations at Leaders Group or Royal Alliance. It also […]

Client Of TD Ameritrade Takes Issue With Securities Broker Kwasi Aggor's Sales Practices Soreide Law Group provides you with an update regarding securities broker Kwasi Mensah Aggor (CRD#: 4974222, Providence, Rhode Island). Evidently, the securities broker worked for firms AXA Advisors (2005 to 2007) and TD Ameritrade (2008 to 2018). Notably, FINRA barred Aggor as […]

Oppenheimer Securities Broker Dennis Ayre Barred By FINRA And Involved In Investor Disputes About Foresight Energy LP Stock Transactions Soreide Law Group is reviewing potential investor lawsuits against securities broker Dennis Phillip Ayre (CRD#: 5365176, Beverly Hills, California). Evidently, Ayre, who worked for broker-dealers including Hilltop Securities (2019 to 2020), Oppenheimer Co. Inc. (2014 to […]

FINRA Sanctions McNally Financial For Failing To Supervise NT-ETPs, Options Trading FINRA sanctioned McNally Financial Services Corporation (CRD#: 121196, San Antonio, Texas). Notably, the firm violated FINRA rules relating to supervision of non-traditional exchange traded products (NT-ETPs) and options trades. Soreide Law Group provides you with some of the key details about FINRA’s disciplinary action […]

APW Capital Broker Paul Furusho Barred As Securities Broker By FINRA The Financial Industry Regulatory Authority (FINRA) reportedly barred securities broker Paul Wesley Furusho (CRD#: 2165709, San Francisco, California). Specifically, the regulator indefinitely prohibited Furusho from working as a securities broker because of alleged misconduct during an investigation. Not only that, but Furusho’s recent employer, […]

Investor At MML Alleges Sales Practice Violation By Broker Curt Giacobbe Soreide Law Group provides you with new information concerning securities broker Curt Giacobbe (CRD#: 2682776, Melville, New York). Notably, Financial Industry Regulatory Authority BrokerCheck shows that investors filed disputes about the securities broker, who worked for securities firm MML Investors Services from 2012 to […]