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 […]

Worden Capital Investors File Disputes About Securities Broker John LoPinto It appears that investors have come forward in dispute of securities broker John Michael LoPinto (CRD#: 4563735, New York, New York). In total, Financial Industry Regulatory Authority (“FINRA”) reveals that four investors took aim at LoPinto alleging sales practices violations. SEC also sanctioned him. Here’s […]

Investors File Disputes About Broker Gilberto Briseno's Investment Recommendations At LPL Financial Soreide Law Group is examining whether to file disputes on behalf of investors against securities broker Gilberto Briseno (CRD#: 1939355, Boutte, Louisiana). Evidently, the Financial Industry Regulatory Authority (“FINRA”) reports that three investors took issue with Briseno’s sales practices. Read on to learn […]

Securities Broker Scott Michael Barber Involved In Disputes About Suitability Of REIT Transactions The Financial Industry Regulatory Authority (“FINRA”) BrokerCheck shows that investors filed disputes in regard to securities broker Scott Michael Barber (CRD#: 4822754, DuBois, Pennsylvania). Here’s what clients have alleged against this broker, and what you could do if you sustained losses because […]