Broker Laurence Torres Faces Sanctions, Investor Lawsuits Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) BrokerCheck contains 11 critical disclosures concerning securities broker Laurence "Larry" Michael Torres (CRD#: 2821373, Staten Island, New York). Among them are FINRA and SEC sanctions which effectively prevent Torres, who worked for First Standard Financial Company LLC and Alexander Capital […]

FINRA Bars Charles Euler For Refusing To Testify Investor alert! Financial Industry Regulatory Authority (“FINRA”) BrokerCheck reports 8 disclosures on the record of financial advisor Charles J. Euler (CRD#: 202696, Radnor, Pennsylvania). Notably, the securities broker is highlighted in at least seven disputes alleging sales practice violations. On top of that, FINRA barred Euler because […]

Broker Jeffrey Broten Barred For Refusing To Comply With Investigators The Financial Industry Regulatory Authority (“FINRA”) reports troubling allegations of sales practice violations by securities broker Jeffrey A. Broten (CRD#: 1006678, Morristown, New Jersey). Broten has worked for National Securities Corporation, First Standard Financial Company and Newbridge Securities Corp. Recently, FINRA barred Broten as a […]

Broker Joshua Turney Is Expelled By SEC, FINRA Investor Alert! The Securities and Exchange Commission (SEC) is the latest regulator to bar securities broker Joshua W. Turney (CRD#: 4510219, San Diego, California), who most recently worked for Global Arena Capital Corp. Also, 11 of Turney’s clients contested his sales practices. Here’s more on the incidents […]

Concorde Broker Robert Smith Allegedly Sold Bad GPB Investments Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports troubling information in regard to securities broker Robert Scott Smith (CRD#: 1412333, Newberg, Oregon). Evidently, Smith worked for securities firm Concorde Investment Services LLC from 2011 to 2020. Namely, clients indicate that Smith might have caused their […]

Broker Craig Zabala Misappropriated Assets, SEC Complaint Indicates Soreide Law Group is reviewing potential investor claims against securities broker Craig Anthony Zabala (CRD#: 2740680, Harlem New York). Notably, the Securities and Exchange Commission (“SEC”) brought a lawsuit against Zabala in which it makes troubling allegations including misappropriation. Not only that, but Financial Industry Regulatory Authority […]

Broker Bryan Mazliach Identified In Client Disputes, FINRA Complaint Soreide Law Group is evaluating possible investor claims of sales practice violations by Bryan G. Mazliach (CRD#: 5518438, Fort Lauderdale, Florida). Apparently, the securities broker, who worked for Rockwell Global Capital (2010 to 2015), Laidlaw (2015 to 2017) and Westpark Capital (2017 to 2018), is involved […]

Aegis Client Indicates That Broker Made Sales Practice Violations Investor alert! The Financial Industry Regulatory Authority (“FINRA”) reports troubling allegations of misconduct regarding securities broker Mickey Schreiber, who also goes by the name M.B. Schreiber (CRD#: 1032600, Red Bank, New Jersey). Apparently, Schreiber worked for securities firms including National Securities Corporation (2012 to 2016) and […]

Barred Broker Jim Flynn Involved In Investor Disputes Droves of investors are filing disputes about securities broker James “Jim” Flynn (CRD#: 3082615, Greenville, South Carolina). Notably, the securities broker has a whopping 64 disclosures on his record via Financial industry Regulatory Authority (“FINRA”), nearly all of which are investor disputes. The securities broker, who worked […]