Soreide Law Group is investigating possible investor claims against securities broker Jonathan Adam Stuffer (also known as Jon Stuffer) [CRD: 6015954, Staten Island, New York]. Notably, FINRA sanctioned the securities broker, who worked for J.P. Morgan Securities LLC. Allegedly, Stuffer failed to testify during an investigation into possible FINRA rule violations. Here is a brief […]

Soreide Law Group is investigating possible investor claims against securities broker Tyrone Smiles [CRD: 4370937, Newark, New Jersey]. Notably, FINRA sanctioned the securities broker, who worked for Prudential Investment Management Services LLC. Allegedly, Smiles engaged in an undisclosed outside business activity. Here is a brief summary of FINRA’s allegations against Smiles. FINRA Bars Prudential Investment […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker James Simpson [CRD: 424828, Toledo, Ohio]. Evidently, investors disputed the sales practices of the securities broker, who worked for Equitable Advisors LLC. Additionally, the securities broker disclosed a regulatory enforcement action. Read on to learn more about the allegations against Simpson. Equitable Advisors […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Jay Sheth [CRD: 4656009, Memphis, Tennessee]. Evidently, investors disputed the sales practices of the securities broker, who worked for National Securities Corporation. Additionally, the securities broker disclosed a regulatory enforcement action. Read on to learn more about the allegations against Sheth. National Securities […]

Soreide Law Group is investigating possible investor claims against securities broker Jorge Antonio Netto [CRD: 2432661, Miami, Florida]. Notably, FINRA sanctioned the securities broker, who worked for Boreal Capital Securities LLC. Allegedly, Netto engaged in an undisclosed outside business activity. Here is a brief summary of FINRA’s allegations against Netto. Boreal Capital Securities LLC Securities […]

Soreide Law Group is investigating possible investor claims against securities broker Edric Michael McSween [CRD: 2080810, Naples, Florida]. Notably, FINRA sanctioned the securities broker, who worked for Ameriprise Financial Services LLC. Allegedly, McSween failed to provide information and documents to FINRA when it investigated possible violations of FINRA rules. Here is a brief summary of […]

Soreide Law Group is investigating possible investor claims against securities broker David Allen Maute [CRD: 4307126, Springfield, Ohio]. Notably, FINRA sanctioned the securities broker, who worked for Allstate Financial Services LLC. Allegedly, Maute failed to provide information and documents to FINRA when it investigated possible violations of FINRA rules. Here is a brief summary of […]

Soreide Law Group is investigating possible investor claims against securities broker Philip Marchese [CRD: 5905008, New York, New York]. Notably, FINRA sanctioned the securities broker, who worked for Spartan Capital Securities LLC. Allegedly, Marchese engaged in excessive trading. Here is a brief summary of FINRA’s allegations against Marchese. FINRA Sanctions Spartan Capital Securities LLC Securities […]

Soreide Law Group is investigating possible investor claims against securities broker Michael Leahy (also known as Mike Leahy) [CRD: 1899498, Red Bank, New Jersey]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses regulatory actions and disputes involving the securities broker, who worked for First Standard Financial Company LLC. Here is a brief summary of the […]