UBS Clients Indicate That Broker Gerard Costello Misrepresented Investments Soreide Law Group is reviewing possible investor claims against securities broker Gerard Costello [CRD#: 1551511, New York, NY]. Apparently, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck shows that at least 3 clients raised serious concerns about the securities broker, who joined UBS Financial Services on November 20, […]

Investors File Disputes About Broker James Pecoraro Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports alarming information in regard to securities broker James Pecoraro [CRD#: 2440231, Garden City, New York]. Evidently, at least 10 clients raised serious concerns about the securities broker, who worked for SW Financial between 2016 and 2019 and who joined […]

Broker Bernard Audet Allegedly Misrepresented Life Insurance Policies Investors are alleging losses because of Bernard Joseph Audet [CRD#: 1317819, Newtown Square, Pennsylvania]. Evidently, the securities broker, who joined MML Investors Services in 2017, discloses 7 investor disputes on Financial Industry Regulatory Authority (“FINRA”) BrokerCheck. Apparently, Audet’s clients asserted claims of misrepresentation, omissions, and unsuitable insurance […]

LPL Broker Don Woods Allegedly Recommended, Sold Unsuitable Alternative Investments Investors are voicing complaints about securities broker Donald “Don” Stephen Woods [CRD#: 727894, Louisville, Kentucky]. Apparently, the securities broker worked for LPL Financial LLC between July 1, 2010 and January 20, 2017 and then worked for Thurston Springer Financial from December 22, 2016 to August […]

SII Clients Indicate Broker Joel Weber Misrepresented Annuity Income Riders Soreide Law Group is investigating potential investor claims of misrepresentation against securities broker Joel Howard Weber [CRD#: 1717681, Sartell, Minnesota]. Evidently, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck reports that five clients complained about the broker, who associated with SII Investments from 2002 to 2017 and […]

Broker James Knee Allegedly Misappropriated Funds Investor Alert! FINRA BrokerCheck discloses troubling information in regard to securities broker James “Jim” Edward Knee [CRD#: 1852920, Concord, New Hampshire]. Supposedly, at least 8 clients took issue with the securities broker, who worked for Ameriprise Financial Services between 2012 and 2015 and who also worked for Voya Financial […]

Cantone Research CEO Anthony Cantone Willfully Defrauded Investors, FINRA Finds Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports alarming issues concerning Cantone Research CEO Anthony Cantone [CRD#: 1066139, Eatontown, New Jersey]. Not only has FINRA suspended the securities broker for committing securities fraud, but 5 clients brought disputes against him. Mainly, these disclosures suggest […]

Centaurus Broker Cindy Chiellini Allegedly Causes Investor Losses On Bad Real Estate Securities Transactions Soreide Law Group is reviewing potential investor disputes against Centaurus Financial securities broker Cindy Porto Chiellini [CRD#: 1015592, Lexington, South Carolina]. Notably, Colorado Division of Securities filed an enforcement action against Chiellini for her allegedly unsuitable and dishonest sales practices. Also, […]

Your Securities Broker Or Financial Advisor Might Have Caused Your Coronavirus (Covid-19) Related Investment Losses Soreide Law Group is examining potential lawsuits on behalf of investors against their brokers, financial advisors and respective financial institutions who possibly advised those investors to purchase unsuitable or misrepresented investments that have since plummeted in value because of the […]