Broker Michael Shillin Under FINRA Investigation Soreide Law Group is reviewing possible investor lawsuits against securities broker Michael Francis Shillin (CRD#: 5927156, Altoona, WI). Notably, on November 20, 2020, FINRA initiated an investigation into the broker, who worked for securities firms Alliance Global Partners (AGP) from 2018 to 2020 and Raymond James from 2014 to […]

Securities Broker Nancy Glassman Might Have Made Bad Trades Soreide Law Group is reviewing potential investor claims alleging bad securities business by Nancy Dawn Glassman (CRD#: 1734992, New York, NY). Namely, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck shows that there are 4 investor disputes regarding the securities broker. Evidently, she worked for UBS Financial Services […]

Broker Michael Venturino Supposedly Breached Fiduciary Duty, Churned Aegis Customer's Account Soreide Law Group wants to know if you sustained losses by investing with Michael Christopher Venturino (CRD#: 5872439, Garden City, New York). Venturino is a securities broker who joined Spartan Capital Securities in April 2018 and who also worked for Aegis Capital Corp (2014-2017) […]

Great American Investors Clients Allegedly Receive Bad Advice From Broker Bill Baum Soreide Law Group is looking into potential investor disputes against securities broker William “Bill” Baum [CRD#: 1528847, Overland Park, Kansas]. Apparently, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck shows that at least 8 clients took issue with the securities broker, who joined Great American […]

LPL Financial's Nicholas Travascio Allegedly Recommended Unsuitable REITs Investors are voicing complaints and serious concerns in regard to Nicholas Travascio [CRD#: 2581756, Hurst, Texas]. Supposedly, the securities broker, who worked for LPL Financial between May 1999 and December 2018, discloses 3 investor disputes on Financial Industry Regulatory Authority (“FINRA”) BrokerCheck. Namely, LPL Financial clients indicate […]

Wells Fargo's Sanjay Mathur Supposedly Sold Unsuitable And Misrepresented Investments Soreide Law Group is reviewing possible investor claims against Wells Fargo securities broker Sanjay Mathur [CRD#: 1144243, Newport Beach California]. Evidently, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck shows that at least 5 clients raised serious concerns about the securities broker, who joined Wells Fargo Advisors […]

Broker Rick Higgins Allegedly Misrepresented Investments Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports alarming allegations of improprieties by securities broker Rick Higgins [CRD#: 1726947, Spartanburg, South Carolina]. Notably, one or more clients contested the actions of the securities broker, who worked with ProEquities from 2012 to 2016 and who presently works with First […]

Investor Suggests National Securities Corp's Kurt Stein Misrepresented Investments Soreide Law Group is reviewing possible investor claims against securities broker Kurt Stein (CRD#: 3159180, New York, New York). Notably, the Financial Industry Regulatory Authority (“FINRA”) reports that two of Stein’s clients at Merrill Lynch and National Securities Corporation contested his sales practices. These disputes suggest […]

Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552, obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, July, 2013.” Kapil Shashikant Shah aka Shah Shashikant Shah (CRD #4409290, Registered Principal, Jersey City, New, Jersey) was barred from association with any FINRA member in any capacity. The sanction was based […]