Morgan Stanley's Michael Paesano Allegedly Gave Bad Advice To Clients Soreide Law Group is investigating potential investor claims of sales practice violations by broker Michael Paesano [CRD#: 1557229, New York, New York]. Notably, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck reports that approximately 21 clients disputed the securities broker, who worked with Morgan Stanley from May […]

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 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 […]

Broker Daniel Levine Barred By SEC, FINRA and Colorado Division of Securities Former Morgan Stanley broker Daniel Todd Levine (CRD#: 2874319, Greenwood Village, Colorado) is one of the latest securities brokers to be expelled from the industry. Evidently, Securities and Exchange Commission (“SEC”), Financial Industry Regulatory Authority (“FINRA”) and Colorado Division of Securities barred the […]

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 […]

Did Morgan Stanley's Daniel Reilly Cause Your Investment Losses? FINRA BrokerCheck reports troubling allegations against Morgan Stanley securities representative Daniel Reilly (CRD#: 4752371, New York, New York). Specifically, the securities broker, who worked for Morgan Stanley from February 20, 2015 to June 15, 2018, discloses two clients disputes which settled through payments to them, and […]

ROBERT MONTES Barred By FINRA The Financial Industry Regulatory Authority (“FINRA”) announced July 24, 2019 that it barred Morgan Stanley securities broker Robert Montes (CRD#: 835488, Palm Harbor, Florida). Evidently, Montes, who worked for Morgan Stanley from 2014 until 2019,  flat out refused to cooperate with FINRA who investigated him for his possible misuse of […]

RON WILLOUGHBY Sell You Unsuitable UITs? Soreide law Group is reviewing potential investor claims against Morgan Stanley securities broker Ron Willoughby Jr. (CRD#: 2425926, Tempe, Arizona). Notably, the Financial Industry Regulatory Authority (“FINRA”) issued Willoughby a suspension and fine of $5,000 for engaging in an unsuitable pattern of early rollovers of unit investment trust (“UIT”) […]

DAVID STRNAD Suspended, Fined By FINRA The Financial Industry Regulatory Authority (“FINRA”) issued Morgan Stanley securities broker David Strnad (CRD#: 1982721, Nashville, TN) a suspension and fine of $10,000 for his unauthorized purchases and sales in an investors’ account. Namely, Strnad submitted a Letter of Acceptance, Waiver, and Consent (“AWC”) #:2016051569601 on May 13, 2019, […]