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October 12, 2024
Jeffrey Higgins Barred Amid Allegations of Misappropriation

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals that securities broker Jeffrey Thomas Higgins [CRD: 2871443, Baker City, Oregon] has been barred as a securities broker. Higgins worked for Western International Securities Inc. from August 21, 2017, to June 27, 2024. Notably, Higgins’ failure to cooperate with a FINRA investigation into potential misappropriation of client funds […]

September 8, 2024
Michael Shatsky In Sky Alpha Investor Disputes Alleging Negligence

Investors might have sustained losses due to financial advisor / securities broker Michael Jay Shatsky (also known as Mike Shatsky) [CRD: 2430683, Boca Raton, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Michael Shatsky joined Sky Alpha Asset Advisors LLC as a financial advisor in 2018. He worked at Oppenheimer Co. […]

September 3, 2024
Investors File Disputes About Jack Cayce

Investors might have sustained losses due to securities broker Jack Matthew Cayce (also known as J.M. Cayce and Matt Cayce) [CRD: 4189311, Atlanta, Georgia], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Jack Cayce worked for Purshe Kaplan Sterling Investments since January 23, 2023, and Apollon Wealth Management LLC since May 12, […]

August 10, 2024
Zachary Taylor Facing Complaints From Saxony, Oppenheimer Clients

Investors might have sustained losses due to securities broker Zachary Ellis Taylor (also known as Zach Taylor) [CRD: 6074776, Newport Beach, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Zachary Taylor worked for Saxony Securities Inc. from June 26, 2023, to October 24, 2023, Oppenheimer Co. Inc. from August 21, 2020, […]

August 8, 2024
Thomas Moran Facing Wells Fargo Client Dispute About Unauthorized Trading

Investors potentially sustained damages through securities broker Thomas Michael Moran (also known as Tom Moran) [CRD: 709062, Naples, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Thomas Moran worked for Wells Fargo Advisors Financial Network LLC from November 15, 2018, to August 30, 2022, and for Wells Fargo Clearing Services LLC […]

August 1, 2024
Neil Lerner Involved In Morgan Stanley Investor Complaints

Investors might have sustained losses due to securities broker Neil Jeffrey [CRD: 836146, New York, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Neil Lerner worked for Morgan Stanley from October 19, 2018, to February 13, 2024. Here’s an overview of Neil Lerner’s disclosures. Morgan Stanley Investor Accused Lerner Of […]

July 31, 2024
Mark Just Facing Triad Investor Disputes Regarding Unsuitable Advice

Investors potentially sustained damages through securities broker Mark William Just [CRD: 1138738, Indianapolis, Indiana], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Mark Just worked for Triad Advisors LLC from January 26, 2004, to June 18, 2021. The following information concerns the securities broker’s disclosures. Triad Advisors LLC Investor Accused Just Of […]

July 20, 2024
Rich Ceffalio Involved In LPL Financial Client Complaints

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker JR Richard Allen Ceffalio Jr. (also known as Rich Ceffalio) [CRD: 2619565, Arlington Heights, Illinois], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Richard Ceffalio worked for LPL Financial LLC from November 15, 2019, to […]

June 20, 2024
Jason Mieras In Client Complaints About Unsuitable Recommendations

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Jason Lawrence Mieras [CRD: 2850648, Lake Como, New Jersey], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Jason Mieras joined American Portfolios Financial Services Inc. on September 7, 2001, and American Portfolios Advisors Inc. on […]

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