Primex's Wilfredo Felix Is Barred By FINRA, Found Liable In Investor Dispute Soreide Law Group is evaluating possible investor claims to be brought against former Primex securities broker Wilfredo Felix Jr. (CRD#: 2693672, New York, New York). Notably, his FINRA BrokerCheck report contains alarming disclosures. This includes FINRA’s decision to bar Felix for seemingly impeding […]

Securities Broker Kinan Nimeh Involved In Investor Disputes About Suitability, Excessive Trading The Financial Industry Regulatory Authority (“FINRA”) reports troubling information in regard to securities broker Kinan Nimeh (CRD#: 4438900, New York, NY). Specifically, the securities broker, who worked for firms Rockwell Global Capital (2011 to 2015), McBarron Capital LLC (2015 to 2016), CV Brokerage […]

Broker Ryan Raskin Barred By Financial Industry Regulatory Authority The Financial Industry Regulatory Authority (FINRA) announced that it expelled securities broker Ryan Ashley Raskin (CRD#: 5539610, Beverly Hills, California). Specifically, for refusing to cooperate in an investigation, the financial industry watchdog declared on January 13, 2021 that Raskin can no longer associate with FINRA firms. […]

Client Of Royal Alliance Takes Aim At Broker Sharon Kwan For Purported Misrepresentation The Financial Industry Regulatory Authority (“FINRA”) reports troubling information on BrokerCheck in regard to broker Sharon Melinda Kwan (CRD#: 2578627, Arcadia, CA). Notably, her BrokerCheck record shows that three investors filed disputes, and that FINRA suspended her for violating FINRA rules. Evidently, […]

Broker Ed Matthes Reportedly Pleads Guilty To Wire Fraud The investment loss recovery team at Soreide Law Group brings you this Investor Alert in regard to barred securities broker Edward “Ed” Earl Matthes (CRD#: 2788055, Oconomowoc, Wisconsin). Evidently, Matthes worked for securities firms including Thrivent Investment Management and Mutual of Omaha Investor Services. Notably, Matthes […]

Berthel Fisher Clients Indicate That Broker Farrukh Kazmi Sold Bad Alternative Investments The investment loss recovery team at Soreide Law Group provides you with this Investor Alert regarding Farrukh Shazad Kazmi (CRD#: 2855915, Moorestown, New Jersey). Evidently, this securities broker joined Berthel Fisher & Company (“Berthel Fisher”) in January 2010. Notably, FINRA BrokerCheck shows that […]

Broker Michael Shillin Under FINRA Investigation Soreide Law Group is reviewing possible investor lawsuits against securities broker Michael Francis Shillin (CRD#: 5927156, Altoona, WI). Notably, on November 20, 2020, FINRA initiated an investigation into the broker, who worked for securities firms Alliance Global Partners (AGP) from 2018 to 2020 and Raymond James from 2014 to […]

Broker Joe Hede Charged By SEC In Connection With Sham Belize Fund Investments Investor Alert! The United States Securities and Exchange Commission charged securities broker Minish Joe Hede (CRD: 2389098, New York, New York) with violating securities laws on what the Commission claims to be a sham investment in Belize Fund. Not only that, but […]

Barred Broker Thomas Marino Sanctioned Again By FINRA Investor Alert! FINRA barred securities broker Thomas John Marino (CRD#: 4438533, Lake Worth Beach, Florida). Not only that, but the securities broker, who worked for firms JW Cole Financial and RM Stark, is involved in at least three investor disputes. These disclosures contain allegations that Marino sold […]