Securities Broker Leif Olson Involved In Morgan Stanley Investor Dispute The securities attorneys at Soreide Law Group have learned of some recent investor arbitrations or disputes involving securities broker Leif David Olson (CRD#: 2277495, Sarasota, Florida). Namely, Olson worked for Morgan Stanley from 2010 to 2020 and worked for Wells Fargo since 2020 – both […]

Wells Fargo's Nelson Polun Is Barred By FINRA Soreide Law Group has come across the FINRA BrokerCheck profile of securities broker Nelson Michael Polun (CRD#: 365420, Bel Air, Maryland), and it shows some concerning information. Specifically, FINRA removed Polun as a securities broker per a February 2021 bar. Not only that, but investors disputed his […]

Client Of Dawson James Alleges Unsuitable Investments The Financial Industry Regulatory Authority (“FINRA”) BrokerCheck shows that a new investor disputed the sales practices of securities broker Marc Scott Steinberg (CRD#: 2549670, Boca Raton, Florida). Evidently, six total investors brought disputes, and allegations include unsuitable recommendations or unsuitable trading. Let’s take a closer look at these […]

Broker Andrew Pravlik Involved In Prospera Financial Client Disputes The Financial Industry Regulatory Authority (“FINRA”) reports troubling information regarding securities broker Andrew James Pravlik (CRD#: 2360456, Pittsburgh, Pennsylvania). FINRA BrokerCheck, which houses public information on securities brokers, shows that three investors filed disputes about Pravlik. Also, two securities firms disaffiliated with him amid misconduct allegations. […]

Broker Steven Schisler Facing Accusations From FINRA Regarding Unsuitable Transactions The Financial Industry Regulatory Authority (“FINRA”) reports some concerning information in regard to securities broker Steven Douglas Schisler (CRD#: 2367961, Grass Valley, California). Namely, FINRA lodged a complaint against the broker alleging that he made nine distinct violations of FINRA and NASD rules. Allegations include […]

Broker Andrew Roybal Facing Disputes From UnionBanc Investors Soreide Law Group has come across new information in regard to securities broker Andrew Ricardo Roybal (CRD#: 2675889, San Diego, California), who worked for UnionBanc Investment Services from 1997 to 2020 as both a financial advisor and securities broker. Namely, the Financial Industry Regulatory Authority (“FINRA”) BrokerCheck […]

Summit Brokerage Services Investors File Arbitration Claims About Securities Broker Norman Robbins Soreide Law Group has come across concerning information in regard to securities broker Norman Arnold Robbins (CRD#: 731352, Boca Raton, Florida). Namely, six investors brought complaints or FINRA Arbitration Claims alleging sales practice violations by Robbins. It appears that recent disputes focus on […]

Melinda Abood (UBS Financial Services) Targeted In Investor Disputes The Financial Industry Regulatory Authority (“FINRA”) reports troubling information in regard to securities broker Melinda Joyce Abood (CRD#: 867463, New York, New York). Namely, the securities broker and financial advisor, who joined UBS Financial Services in April 1986, is involved in five investor disputes. Here’s more […]

Securities Broker David Paton Involved In Disputes From RBC Capital Markets Clients The Financial Industry Regulatory Authority (“FINRA”) reveals troubling information in regard to securities broker David Kallman Paton (CRD#: 1746167, Woodbury, Minnesota). Notably, the securities broker, who worked for securities firm RBC Capital Markets LLC, is involved in three investor disputes – two involving […]