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 John Thomas Holly AKA Tom Holly [CRD#: 1713313, Boca Raton, FL]. Holly has worked for (1) B. Riley Wealth Mgmt. since 2022; (2) B. Riley Wealth Advisors Inc. since 2004; and (3) National Securities Corporation from 2004-2022. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck […]

Soreide Law Group is investigating possible investor claims against securities broker Thomas Wilson Murray [CRD#: 1186933, Pasadena, California]. Specifically, FINRA BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Wachovia Securities, First Union Securities, and Morgan Stanley. Evidently, one or more clients allege sales practice violations in these disputes, […]

Breach Of Fiduciary Duty Alleged In Dispute About William Randall Soreide Law Group is examining possible investor lawsuits against securities broker William Perry Randall (CRD#: 1392233, Rockford Illinois). The Financial Industry Regulatory Authority (“FINRA”) reports that at least two investors disputed Randall’s sales practices. These disputes raise allegations of breach of fiduciary duty and suitability. […]