Dawson James Securities Clients File Disputes About Securities Broker Douglas Armstrong Soreide Law Group has important information to share with you regarding Robert Douglas Armstrong (CRD#: 5236735, Boca Raton, Florida). Namely, Armstrong, who became a Dawson James Securities Inc. employee in August 2012, is involved in eight investor disputes. Here's more on the disclosures and […]

Equitable Advisors' Ryan Ott Suspended, Facing Investor Disputes Soreide Law Group has come across some important information relating to Ryan James Ott (CRD#: 6173815, Woodbridge, New Jersey). Notably, FINRA suspended Ott on August 23, 2021. It will potentially bar him by November 1, 2021, if he fails to either cooperate with its inquiry or get […]

Securities Broker Mike Leahy Sanctioned By FINRA, Ordered To Pay Client Compensation For Failure To Supervise Soreide Law Group has come across the Financial Industry Regulatory Authority (“FINRA”) BrokerCheck profile of securities broker Michael Leahy “Mike Leahy” (CRD#: 1899498, Red Bank, New Jersey). It seems that the regulator suspended Leahy as a securities broker in […]

LPL Clients Complain About Securities Broker Michael Henschel's Annuity, REIT Transactions Soreide Law Group comes to you with some helpful information in regard to securities broker Michael James Henschel (CRD#: 3112890, Stevens Point, Wisconsin). Specifically, the securities broker, who has worked as both an LPL Financial advisor and securities broker since October 2011, is involved […]

Voya Securities Broker Pete Mersberger Facing Allegations Of Sales Practice Violations Soreide Law Group has new information to share with you in regard to securities broker Peter Jerome Mersberger “Pete Mersberger” (CRD#: 2372186, Sheboygan Falls, Wisconsin). Namely, four investors challenged Mersberger’s sales practices, and two of those disputes concern his actions at Voya Financial Advisors […]

Barrett Company Clients Take Issue With Securities Broker Chad White The Financial Industry Regulatory Authority (“FINRA”) indicates through BrokerCheck that investors challenged the sales practices of Barrett Company securities broker Charles Edward White II “Chad White” (CRD#: 1345688, Providence, Rhode Island). Namely, seven investors disputed White’s actions. Allegations include unsuitability and misrepresentation. And Massachusetts Securities […]

NBC Clients Allege Misrepresentation, Unsuitable Trading In Disputes About Securities Broker Marcello Lattuca Soreide Law Group has news to share with you regarding the Financial Industry Regulatory Authority (FINRA) BrokerCheck disclosures of securities broker Marcello Lattuca (CRD#: 2149434, Massapequa, New York). Namely, four investors disputed Lattuca’s sales practices, and clients brought three disputes in 2020. […]

Securities Broker Daniel Lauletta Involved In Disputes Alleging Negligence, Misrepresentation Financial Industry Regulatory Authority (FINRA) BrokerCheck shows that five investors filed disputes concerning securities broker Daniel James Lauletta (CRD#: 2659123, Cleveland, Ohio). Evidently, Lauletta worked for Cetera Advisor Networks from 2013 to 2016. Also, he worked as a financial advisor and a securities broker for […]

CUNA Brokerage Services Clients File Disputes About Broker Steve Sylvester Concerning Suitability Soreide Law Group brings you up to speed concerning the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck as it relates to securities broker Stephen Sylvester ("Steve Sylvester") (CRD#: 1950435, Groton, Connecticut). Namely, four investors challenged his sales practices at CUNA Brokerage Services. […]