Securities Broker Lee Rosenberg Is Involved In Investor Disputes Concerning Suitability The Financial Industry Regulatory Authority (FINRA) confirms through BrokerCheck that five investors filed disputes about securities broker Lee Evan Rosenberg (CRD#: 1010402, Jericho, New York). Evidently, Rosenberg worked for securities firm Cadaret Grant beginning in 1988 and currently works as a securities broker and […]

Voya, ING Clients File Disputes About Securities Broker Richard Sall Evidently, there are three Voya Financial Advisors (formerly ING) investor disputes on the Financial Industry Regulatory Authority (“FINRA”) BrokerCheck report of securities broker Richard Harris Sall (CRD#: 1515945, Duluth, Minnesota). It appears that Sall maintained employment with Amev Investors, Voya Financial Advisors (1990 to 2020) […]

SII Clients Indicate Broker Joel Weber Misrepresented Annuity Income Riders Soreide Law Group is investigating potential investor claims of misrepresentation against securities broker Joel Howard Weber [CRD#: 1717681, Sartell, Minnesota]. Evidently, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck reports that five clients complained about the broker, who associated with SII Investments from 2002 to 2017 and […]

As a general rule, investment performance for the last ten years has generally been mediocre. This is true not only for most individual investors, but also for many institutional investors and insurance companies. From early 2000 through 2007, the insurance industry sold a significant amount of variable annuity contracts that included a guaranteed minimum income […]