New Jersey Bureau Of Securities Revokes Broker Maria Tamburro's Securities Agent License Soreide Law Group is looking into potential investor disputes against securities broker Maria Tamburro [CRD#: 5977689, Florham Park, New Jersey]. Mainly, New Jersey Bureau of Securities revoked her securities agent license and FINRA barred her for unauthorized trading. Tamburro, who most recently worked […]

Clients Suggest Kyusun Kim Gave Bad Advice Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) shows troubling information in regard to securities broker Kyusun Kim [CRD#: 2864085, San Diego, California]. Supposedly, at least 23 clients took issue with the securities broker, who worked for Independent Financial Group from 2006 to 2016 and then worked for […]

UBS Customers File Disputes About Dwight West Soreide Law Group is investigating potential investor claims of bad securities sales by broker Dwight West [CRD#: 463778, Lone Tree, Colorado]. Notably, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck reports that no less than 6 clients contested the securities recommendations or sales of the securities broker, who joined UBS […]

Oregon Division Of Financial Regulation Bars Laura Shean Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports alarming information in regard to prior LPL Financial securities broker Laura Shean [CRD#: 2628756, Medford, Oregon]. Not only has Oregon Division of Financial Regulation and FINRA sanctioned the securities broker for unauthorized transactions, but clients also raised serious […]

Broker Kevin Barbalace Possibly Lied To His Clients Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports alarming allegations of improprieties by Corinthian Partners securities broker Kevin Lawrence Barbalace [CRD#: 4456476, Middletown, New Jersey]. Notably, no less than 5 of Barbalace’s clients at Corinthian Partners and Dawson James Securities contested his sales practices. Not only […]

Broker Rick Higgins Allegedly Misrepresented Investments Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports alarming allegations of improprieties by securities broker Rick Higgins [CRD#: 1726947, Spartanburg, South Carolina]. Notably, one or more clients contested the actions of the securities broker, who worked with ProEquities from 2012 to 2016 and who presently works with First […]

Cape Securities Broker Kevin Meadows Suspended For Excessive, Unsuitable Trading On January 28, 2020, the Financial Industry Regulatory Authority (“FINRA”) suspended Kevin Meadows (CRD#: 2878889, Columbus Georgia). Namely, the securities broker, who worked at Cape Securities (2013 to 2017), Lombard Securities (2018) and IBN Financial Services (2018 – present), accepted sanctions from the financial watchdog […]

FINRA Suspends Oromaner For Not Paying Aggrieved Client Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports troubling information in regard to securities broker Michael Oromaner [CRD#: 2857559, Syosset, New York]. Mainly, FINRA sanctioned Oromaner for unauthorized trading and failure to comply with legal requirements. But that's not all. At least 13 clients took issue […]

FINRA Investigating Allegations Of Excessive Trading By First Standard Broker Andre Davis Soreide Law Group is reviewing possible investor claims against Andre Davis [CRD#: 1417097, Red Bank, New Jersey]. Apparently, he worked for First Standard Financial Company between 2015 and 2019 and joined Paulson Investment Company in 2019. It appears that Financial Industry Regulatory Authority […]