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February 28, 2020
SEC Bars Robert DePalo For Fraud Conviction

Broker Robert DePalo Barred Following Fraud Conviction Investor Alert! Securities broker Robert DePalo (CRD#: 2946313, Greenwich, Connecticut) is no longer allowed to act as a broker or investment advisor, according to the Securities and Exchange Commission (“SEC”), who barred DePalo after he was convicted of fraud. Not only that, but FINRA barred the broker and […]

April 29, 2019
INVESTOR ALERT: FINRA Suspends HEATH BOWEN For Failing To Pay Arbitration Award

INVESTOR ALERT: FINRA Suspends HEATH BOWEN For Failing To Pay Arbitration Award The Financial Industry Regulatory Authority (“FINRA”) suspended Allegis Investment Services LLC president and general securities representative Heath Shayne Bowen (CRD#: 4824684, Idaho Falls, Idaho). FINRA claimed that Bowen did not comply with FINRA Arbitration #18-02355. In that matter, FINRA Arbitration Panel issued a […]

March 7, 2019
ATTENTION INVESTORS: Losses from Capital Financial Services Broker Steven Knuttila?

ATTENTION INVESTORS: Losses from Capital Financial Services Broker Steven Knuttila? Financial Industry Regulatory Authority (FINRA) barred Capital Financial Services Inc. broker Steven Roland Knuttila (CRD#: 3039112, Perham, Minnesota) from the securities industry for making bad recommendations to customers. Notably, Mr. Knuttila, who was employed with Capital Financial Services, Inc. between June 4, 2012 and December […]

March 1, 2019
Soreide Law Group Investigating Claims Against Adam Marquardt

Soreide Law Group Investigating Possible Claims Against Adam Thomas Marquardt Soreide Law Group is investigating possible claims on behalf of those who invested with Adam Marquardt (CRD#: 5307192, Rochester, Minnesota), a securities representative who joined Wells Fargo Advisors Financial Network, LLC on April 23, 2010. Notably, Financial Industry Regulatory Authority (“FINRA”) reported that a customer […]

February 28, 2019
ATTENTION INVESTORS: Complaints Filed Against Legend Securities Brokers Jonathan Miller, Samuel Girgiss

ATTENTION INVESTORS: Complaints Filed Against Legend Securities Brokers Jonathan Miller, Samuel Girgiss   Legend Securities, Inc. (CRD#: 44952, New York) is a previously registered brokerage firm which FINRA expelled June 21, 2018. Specifically, FINRA’s Hearing Officer issued a Default Decision in FINRA Case #2015048048801 on November 6, 2017, finding the firm violated NASD Rule 3010 […]

February 22, 2019
INVESTORT ALERT: Customer Complaints Filed Against Presidential Brokerage, Gregory Williams

INVESTORT ALERT: Customer Complaints Filed Against Presidential Brokerage, Gregory Williams Gregory Jon Williams (CRD#: 1561089, Greenwood Village, Colorado) is a licensed securities representative of Presidential Brokerage, Inc. Apparently, he has transacted with investors through the Greenwood Village, Colorado offices as early as April 20, 2011. The Financial Industry Regulatory Authority (“FINRA”), who regulates broker-dealers and […]

February 22, 2019
SEC Charges Westport Capital Markets, Christopher McClure With Fraud

SEC Charges Westport Capital Markets, Christopher McClure With Fraud Westport Capital Markets president and CEO, Christopher Edward McClure (CRD#: 2289844, Westport, Connecticut), face charges by United States Securities and Exchange Commission (the “SEC”) for defrauding advisory customers. Specifically, on December 11, 2017, SEC filed Case 3:17cv2064 in the United States District Court for the District […]

February 4, 2019
James Polese of Morgan Stanley Jailed For Fraud

James Polese Sentenced to 5 Years On Tuesday, an ex-Morgan Stanley adviser was sentenced to jail for five years after he confessed to misappropriating client funds to invest in a wind farm project. He also admitted to paying his children’s tuition fees and taking care of other personal expenses with the funds. FORMER ADVISER FOR […]

February 1, 2019
Unsuitability Lawsuits Filed Concerning Oriental Financial Services, Gustavo Melendez

Unsuitability Lawsuits Filed Concerning Oriental Financial Services, Gustavo Melendez Gustavo Velazquez Melendez (CRD#: 4477946, Humacao, Puerto Rico) used to be an Oriental Financial Services Corp. general securities representative. Apparently, Melendez was associated with the firm between March 30, 2006 and March 6, 2017. Critically, FINRA BrokerCheck shows that approximately 29 customers have filed investment-related disputes […]

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