Cadaret Grant Client Alleges Unsuitable OTC Trades By Broker Gerald Dewes The Financial Industry Regulatory Authority (FINRA) contains new disclosures in regard to securities broker Gerald Roger Dewes (CRD#: 2465538, East Amherst, New York). Namely, Dewes, who used to work for securities firm Cadaret Grant Co., faces investor disputes. Not only that, but FINRA barred […]

FINRA Opens Investigation Into Securities Broker Sherry Baker (Raymond James) Regarding Suitability The Financial Industry Regulatory Authority (FINRA) reports new information concerning securities broker Sherry Lynn Baker (CRD#: 1249220, Salem, Illinois). Evidently, FINRA, who is responsible for overseeing and investigating securities brokers, launched an investigation into Baker. FINRA's investigation concerns Sherry Baker's potential unsuitable recommendations […]

Client Files Dispute About Barred Integrity Broker Joshua Helmle Financial Industry Regulatory Authority (“FINRA”) shows new information on BrokerCheck regarding securities broker Joshua Nathan Helmle (CRD#: 2195760, Monterey Park, California). Specifically, a client filed a dispute alleging sales practice violations. This comes after Integrity Brokerage LLC permitted Helmle to resign and after FINRA indefinitely barred […]

Broker Ronald Daley (WS Brokerage Services, WS Life) Barred By FINRA Following Investigation The Financial Industry Regulatory Authority (“FINRA”) reports new information regarding securities broker Ronald Scott Daley (CRD#: 4682165, West Chester, Ohio). Specifically, Daley, who worked for securities firm WS Brokerage Services from January 2009 to August 2021, agreed to be barred indefinitely as […]

Securities Broker Paul Vizanko Faces Investor Disputes Alleging Misuse Of Client Funds Soreide Law Group comes to you with new information regarding securities broker Paul Warren Vizanko (CRD#: 2572222, Duluth, Minnesota). Evidently, a client of Wells Fargo (Vizanko’s employer from September 2015 to February 2021) disputed Vizanko’s sales practices. Additionally, FINRA barred Vizanko as a […]

LPL Financial Clients Allege Sales Practice Violations By Chris Black The Financial Industry Regulatory Authority (FINRA) provides new information concerning securities broker Christopher Bryan Black (CRD#: 5049080, Statesboro, Georgia). Specifically, the securities broker, who worked for Wells Fargo Clearing Services from 2013 to 2017, and LPL Financial from 2017 to 2020, is involved in investor […]

Securities Broker Kim Barentsen Faces Investor Dispute, FINRA Sanctions The Financial Industry Regulatory Authority (FINRA) contains new information regarding securities broker Kimberly Ann Barentsen (CRD#: 2092280, Walnut Creek, California). It appears that a client of First Allied Securities disputed Barentsen’s sales practices. Also, FINRA issued a two-month suspension to the securities broker for allegedly engaging […]

Securities Broker Anthony Tricarico (Aegis) Involved In Investor Dispute, Sanctioned By FINRA Soreide Law Group is reviewing potential investor disputes relating to securities broker Anthony Tricarico (CRD#: 1047416, New York, New York). Tricarico worked for Aegis Capital Corp from March 2010 to July 2020. According to Financial Industry Regulatory Authority (FINRA) BrokerCheck, he faces disputes […]

FINRA Bars Securities Broker Mike Iannarino, And A Private Client Services Investor Files A Dispute About Him Soreide Law Group provides you with an update on the FINRA BrokerCheck disclosures connected to Michael Joseph Iannarino (“Mike Iannarino”) (CRD#: 1258453, Columbus, Ohio). First, FINRA barred Iannarino for allegedly refusing to provide information and documents when it […]