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 […]

Berthel Fisher's Alvery Bartlett Allegedly Sold Bad Alternative Investments Soreide Law Group is reviewing possible investor claims against securities broker Alvery Anthony Bartlett Jr. (CRD#: 13975, Saint Louis, Missouri). Notably, Financial Industry Regulatory Authority ("FINRA") BrokerCheck shows that at least 3 clients raised serious concerns about the securities broker, who worked for Berthel Fisher Company […]

Wayne Hummer Clients Allege Structured CDs Misrepresented By Broker Jeannette Adcock Evidently, investors are voicing complaints and serious concerns in regard to securities broker Jeannette Adcock [CRD#: 1432053, Bloomingdale, Illinois]. It appears that the securities broker, who worked for Wayne Hummer Investments between September 20, 2004 and April 21, 2017, is involved in 10 investor […]

UBS Broker Cary Moskowitz Allegedly Caused Investor's Losses Soreide Law Group is looking into potential investor disputes against securities broker Cary Moskowitz [CRD#: 1287997, New York, New York]. Notably, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck shows that 3 or more clients were allegedly wronged by the securities broker, who joined UBS in 2008. Supposedly, clients […]

Broker Robert DePalo Barred Following Fraud Conviction Investor Alert! Securities broker Robert DePalo (CRD#: 2946313, Greenwich, Connecticut) is no longer allowed to act as a broker or investment advisor, according to the Securities and Exchange Commission (“SEC”), who barred DePalo after he was convicted of fraud. Not only that, but FINRA barred the broker and […]

Broker Phillip Schreiner Fails To Comply With FINRA Soreide Law Group is investigating potential investor claims against broker Phillip Schreiner (CRD#: 4742497, San Antonio, Texas). Notably, Financial Industry Regulatory Authority (“FINRA”) issued another sanction to the broker, this time for allegedly failing to pay an arbitration award or prove his compliance therewith. Evidently, this comes […]