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February 20, 2024
Felipe Arrieta Facing SW Financial Clients’ Unauthorized Trading Claims

Soreide Law Group is reviewing potential investor claims on behalf of individuals who incurred losses from securities broker Felipe Nery Arrieta [CRD: 4142123, Melville, New York]. Notably, Arrieta works for several firms, including Vestech Securities Inc. in St. Louis, Missouri since January 9, 2024, and previously with Great Point Capital LLC, Moloney Securities Co. Inc., […]

January 23, 2024
Chuck Roberts Facing Client Allegations Of Misconduct

FIINRA BrokerCheck shows that investors filed disputes about securities broker Chuck Roberts [CRD: 2064602, Miami Beach, Florida]. Soreide Law Group is investigating claims by individuals who incurred financial setbacks due to his conduct. Evidently, Roberts joined Stifel Nicolaus Company Incorporated on March 1, 2016, after his employment with Morgan Stanley. Clients who invested through Roberts […]

December 30, 2023
Investigation Into Shane DeSherlia's Trading At Moloney Securities

Investors have filed disputes regarding securities broker and financial advisor, Shane DeSherlia (CRD#: 6800960, Jerseyville, Illinois]. DeSherlia works with Moloney Securities Co. Inc., located in Jerseyville, Illinois, since May 24, 2017, and with Moloney Securities Asset Management LLC at the same location since November 7, 2019. Recently, multiple investors raised concerns regarding DeSherlia's practices, specifically […]

November 16, 2023
Triad, Arkadios Investors Complain About James Walesa

Soreide Law Group is currently conducting an investigation on behalf of investors who have suffered financial losses involving securities broker James Thaddeus Walesa (also known as Jim Walesa) [CRD#: 1061209, Park Ridge, Illinois]. Evidently, Walesa worked for Arkadios Capital (September 2019 to December 2021) and Triad Advisors LLC (November 2000 to September 2019). Notably, he […]

November 9, 2023
Charles Weldon Discloses Cetera Investor Dispute

Soreide Law Group is actively investigating potential claims on behalf of investors who may have sustained losses due to the actions of securities broker Charles Raymond Weldon (also known as C. Raymond Weldon) [CRD#: 1030659, Boca Raton, Florida]. Evidently, Weldon, who is currently registered with Independent Financial Group LLC, has a history of employment with […]

October 13, 2023
SW Financial Client Complains About Thomas Diamante

Soreide Law Group is currently investigating potential claims on behalf of investors who may have incurred losses through securities broker Thomas Diamante (also known as Tom Diamante), CRD#: 1645257 (Babylon Village, New York). Diamante was affiliated with SW Financial from January 24, 2008, to April 17, 2023. Notably, investors brought disputes about Diamante alleging negligence […]

October 12, 2023
FINRA Issues Bar To Aegis’ Surage Perera

Soreide Law Group is actively investigating potential claims on behalf of investors who sustained losses associated with Surage Kamal Roshan Perera (CRD: 4716321, Melville, New York). Specifically, Perera was affiliated with Aegis Capital Corp. from April 18, 2018, to September 12, 2022, and prior to that, with Maxim Group LLC from November 21, 2017, to […]

October 11, 2023
Complaints Against Ni Advisors’ Shirley Wong

Soreide Law Group is investigating potential claims on behalf of investors who sustained losses due to the actions of Shirley Ank Wong (also known as Ankuan Huang, Kuan An Huang, and Shirley Ankuan Huang) (CRD: 4869184, Daly City, California). She has been registered with NI Advisors since January 7, 2014, as a financial advisor and […]

October 5, 2023
Aegis Investors Complain About Marinos Ballas

Soreide Law Group is actively investigating potential claims on behalf of investors who have suffered financial losses potentially tied to securities broker Marinos Ballas (CRD: 2843677, Melville, New York). Notably, Ballas works for Aegis Capital Corp as of February 19, 2010. Evidently, Aegis Capital Corp clients alleged breach of fiduciary duty and negligence in disputes […]

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