Morgan Stanley Clients Take Aim At Broker Jonathan Lonske For Alleged Sales Practice Violations The Financial Industry Regulatory Authority (“FINRA”) reports troubling information on securities broker Jonathan William Lonske (CRD#: 2594921, Boston, Massachusetts). Notably, Morgan Stanley, who Lonske worked for between 2009 and 2020, disaffiliated with him for alleged transgressions. In addition, four investors challenged […]

Broker Cubby Bice Supposedly Recommended Bad Private Placements Investor Alert! FINRA reports that investors have disputed the sales practices of Sagepoint Financial’s Christopher “Cubby” R. Bice (CRD#: 3222439, Greensboro, North Carolina). Apparently, Bice – who has been with Sagepoint as a securities broker and financial advisor since 2005 – might have sold unsuitable securities to […]

LPL Clients Take Aim At Broker Kevin Houser For Alternative Investment Sales Soreide Law Group is contemplating potential FINRA Arbitration Claims or lawsuits on behalf of investors who lost money because of Kevin Douglas Houser (CRD#:  2513167, Center Valley, Pennsylvania). FINRA BrokerCheck shows that Houser worked for a number of well-known securities firms including LPL […]

FINRA Investigating Bankers Life Broker Ryan Tarjanyi For Unauthorized Transactions Soreide Law Group is reviewing possible investor lawsuits against securities broker Ryan Owen Tarjanyi (CRD#: 6065805, Greensburg, Pennsylvania). Notably, the Financial industry Regulatory Authority (“FINRA”) BrokerCheck report on Tarjanyi shows that he maintained employment at ProEquities from 2012 to 2016, Bankers Life Securities from 2016 […]

Broker Chun Zhu Involved In Investor Dispute Alleging Breach Of Fiduciary Duty The Financial Industry Regulatory Authority (“FINRA”) reports troubling information in regard to securities broker Chun Mei Zhu who also goes by the name Ida Mei Zhu (CRD#: 4863613, Bellevue Washington). Evidently, In May 2020, Zhu became a securities broker and financial advisor for […]

FINRA Indicates That Investors Disputed Eric Harding's Sales Practices Soreide Law Group is evaluating possible investor disputes in regard to securities broker Eric Wayne Harding (CRD#: 2207823, Scottsdale, Arizona). Notably, more than 10 investors disputed the sales practices of Harding, who worked for securities firms Wells Fargo and United Planners Financial Services and who was […]

Windsor Street Securities Broker John Riccardi Ordered To Pay Investor For Losses FINRA reports troubling information in regard to Windsor Street securities broker John F. Riccardi Jr. (CRD#: 4771185, New York, New York). Notably, FINRA indefinitely suspended Riccardi’s broker registration because he did not pay compensatory damages to a client who sued him for sales […]

Geneos Broker Joe Sturniolo Possibly Caused Investor Losses Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) BrokerCheck report for Geneos Wealth Management securities broker Joseph “Joe” Sylvester Sturniolo (CRD#: 1094557, Denver, Colorado) contains alarming information from clients of Geneos and First Allied Securities. Evidently, Sturniolo has worked for Geneos Wealth Management since 2006 in Denver, […]

Broker Alan New Is Barred By FINRA, Targeted In SEC Lawsuit Over Woodbridge Sales The Financial Industry Regulatory Authority (“FINRA”) reportedly barred securities broker Alan Harold New (CRD#: 2892508, Fort Wayne, Indiana) in April 2020. This means that New, who last worked for NYLife Securities, cannot be a securities broker for all FINRA member securities […]