Morgan Stanley Investor Complains About Broker Nordo Nissi's Investment Recommendations Soreide Law Group comes to you with an update in regard to securities broker Nordo Mauro Nissi (CRD#: 1666385, Boston, Massachusetts) who is involved in three investment disputes. Notably, the securities broker, who worked for Morgan Stanley (2004 to 2018) and MS Howells (2018) faces […]

Broker John Hoekman Involved In Wells Fargo, Stephens Investor Disputes Alleging Unsuitable Advice Soreide Law Group provides you with this update in regard to the investor disputes on the public record of securities broker John William Hoekman (CRD#: 2455445, New York, New York). In particular, 8 investors disputed the sales practices of Hoekman. Investors make […]

Morgan Stanley Clients Take Aim At Broker Jeffrey Cadan Regarding Suitability, Excessive Trading New investor disputes have emerged on the Financial Industry Regulatory Authority (FINRA) BrokerCheck report for securities broker Jeffrey Neil Cadan (CRD#: 2726285, New York, New York). It appears that three clients filed disputes in 2020, and a number of additional disputes have […]

Investor Disputes Involving David Krispeal Allege Unauthorized, Excessive Trading The Financial Industry Regulatory Authority (FINRA) reports important information that you should know in regard to securities broker Solomon David Krispeal (CRD#: 2735776, Hauppauge, NY). Notably, at least 8 investors filed disputes (complaints, FINRA Arbitration Claims) alleging that Krispeal engaged in sales practice violations including excessive […]

Churning, Misrepresentation Alleged In Investment Disputes About Carlos Rodriguez The Financial Industry Regulatory Authority (“FINRA”) reports new information regarding a barred broker by the name of Carlos Antonio Rodriguez (CRD#: 4363000, Plano, Texas). This broker worked for firms Merrill Lynch and UBS Financial Services. Notably, FINRA expelled Rodriguez as securities broker in October 2017. Also, […]

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 […]