FINRA Suspends Dawson James' Mack Miller For Unsuitable Trading Soreide Law Group provides you this investor alert in regard to securities broker Mack Leon Miller (CRD#: 2822317, New York, New York). Apparently, FINRA issued a suspension and a fine to Miller for unsuitable trading. Not only that, but three of Miller’s clients disputed his sales […]

FINRA Bars Peter Ianace For Violating FINRA Rules The Financial Industry Regulatory Authority (“FINRA”) reports troubling information in regard to securities broker Peter V. Ianace (CRD#: 3238078, Plano, Texas). Significantly, the financial industry watchdog took away Ianace’s ability to be a securities broker for a FINRA firm, which includes nearly all major securities firms in […]

FINRA Bars Lenny Kinsman For Failing To Testify, Produce Information Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) barred Leonard “Lenny” Kinsman (CRD#: 2816535, Staten Island, New York) from being a securities broker for violating FINRA rules. In addition, Kinsman’s clients brought investment disputes which raise questions about whether Kinsman may have misrepresented information to […]

Broker Steve Colacurcio Suspended By FINRA Soreide Law Group provides you this investor alert in regard to securities broker Steven Colacurcio (CRD#: 1717483, Boca Raton, Florida). Notably, FINRA reports that the securities broker, who joined Dawson James Securities in 2009, faced a suspension for making bad trades. Not only that, but Colacurcio has racked up […]

FINRA Charges Broker Jim Flower With Churning, Excessively Trading The Financial Industry Regulatory Authority (“FINRA”) reports troubling allegations of misconduct by securities broker Jim Flower (CRD#: 2817701, Garden City, New York). Notably, FINRA filed an enforcement action against Flower for alleged sales practice violations including unsuitable recommendations and churning. Not only that, but at least […]

MassMutual's Caleb Jamison Facing FINRA Suspension The Financial Industry Regulatory Authority (“FINRA”) has issued a suspension and fine to securities broker Caleb A. Jamison (CRD#: 5645954, Little Rock, Arkansas) Not only that, but MassMutual terminated the securities broker for allegedly failing to tell his securities firm about outside business activities. FINRA Suspends, Fines Caleb Jamison […]

Securities Broker Martin Noonan Expelled As Broker For Avoiding FINRA Investigators The Financial Industry Regulatory Authority (“FINRA”) barred securities broker Martin Joseph Noonan Jr. (CRD#: 2982159, El Segundo, California) for violating FINRA rules. In addition, the financial industry watchdog reports that an investor complained about the securities broker, who worked for Equibond from 2002 to […]

Did Broker Rusty Tweed Cause You To Incur Losses? Soreide Law Group provides you this recent update in regard to securities broker Robert “Rusty” Tweed (CRD#: 2339324, San Marino, California). Namely, Securities and Exchange Commission (“SEC”) and Financial industry Regulatory Authority (“FINRA”) both barred the securities broker, who worked for Concorde Investment Services from 2011 […]

FINRA Suspends Broker Brian Harte For Discretionary Trading Soreide Law Group provides you this update in regard to a problem securities broker by the name of Brian Joseph Harte (CRD#: 4780629, Alexandria Virginia). Notably, FINRA suspended the E1 Asset Management securities broker twice. Also, Harte is the target of four investor disputes. All together, these […]