Broker David Turetzky Is Involved In Morgan Stanley, Ameriprise Investor Disputes The Financial Industry Regulatory Authority (FINRA) reports that 5 investors filed disputes about securities broker David Charles Turetzky (CRD#: 2954337, Saddle Brook, New Jersey). Namely, these disputes contain allegations of sales practice violations that caused damages to investors. Here’s more. Ameriprise Financial Services Client […]

BrokerCheck Reports Disputes About George Nikolakakos For Advice Soreide Law Group is investigating the advancement of certain lawsuits against securities broker George Nikolakakos (CRD#: 2907561, Omaha, Nebraska). Critically, five investors brought disputes which suggest that the broker caused their investment losses. Here’s what we know so far. Four Points Client Indicates George Nikolakakos Provided Unsuitable […]

Did Broker Rusty Tweed Cause You To Incur Losses? Soreide Law Group provides you this recent update in regard to securities broker Robert “Rusty” Tweed (CRD#: 2339324, San Marino, California). Namely, Securities and Exchange Commission (“SEC”) and Financial industry Regulatory Authority (“FINRA”) both barred the securities broker, who worked for Concorde Investment Services from 2011 […]

Four Points Broker Supposedly Gave Bad Advice Investor lawsuits continue to pile up for Michael C. Martino (CRD#: 2579146, New York, New York). Namely, FINRA BrokerCheck shows that six or more clients contested the sales practices of the securities broker, who joined Four Points Capital Partners in April 2011. Notably, these disputes suggest that Martino […]

Great American Investors Clients Allegedly Receive Bad Advice From Broker Bill Baum Soreide Law Group is looking into potential investor disputes against securities broker William “Bill” Baum [CRD#: 1528847, Overland Park, Kansas]. Apparently, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck shows that at least 8 clients took issue with the securities broker, who joined Great American […]

Morgan Stanley's Michael Paesano Allegedly Gave Bad Advice To Clients Soreide Law Group is investigating potential investor claims of sales practice violations by broker Michael Paesano [CRD#: 1557229, New York, New York]. Notably, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck reports that approximately 21 clients disputed the securities broker, who worked with Morgan Stanley from May […]

NICOLAS BARRIOS Expelled By FINRA The Financial Industry Regulatory Authority (“FINRA”) announced it expelled UBS Financial Services Inc. securities broker Nicolas Barrios (CRD#: 2122824, Winter Haven, Florida). Evidently, Barrios – who worked for UBS as a Production Branch Manager from November 14, 2008 to May 15, 2019 – consented to the sanction of a bar […]

Customers Allege Against Morgan Stanley Sold Unsuitable Investments Morgan Stanley (CRD#: 149777, Purchase, New York) is a Financial Industry Regulatory Authority (“FINRA”) member brokerage firm and Securities and Exchange Commission (“SEC”) registered investment adviser firm. Evidently, Morgan Stanley has been party to forty-three regulatory events regarding its apparent violations of investment-related regulations or rules. At […]