Wintrust Client Brings Investment Dispute About Broker Cataldo Panici Soreide Law Group discusses the FINRA BrokerCheck disclosures on securities broker Cataldo Panici “Carlo Panici” (CRD#: 2112617, Frankfort, Illinois). Evidently, Panici worked as a securities broker or financial advisor for Banc of America Investment Services. He then joined Wintrust Investments in 2009. For more information on […]

Ameriprise Financial Clients Allege Sales Practice Violations By Richard Martin Soreide Law Group is investigating potential disputes to bring on behalf of investors against securities broker Richard Paul Martin (CRD#: 1536729, Goshen, New York). Evidently, Martin joined Ameriprise Financial Services in September 1986 as a securities broker. He became a financial advisor in January 2007. […]

Soreide Law Group is investigating, and a recent FINRA arbitration has been filed on behalf of the clients (Claimants) against LPL FINANCIAL LLC (Respondents). The Claimants reside in Texas, and bring the lawsuit to recover the financial losses the suffered due to the alleged mishandling of the Claimants’ assets by failing to properly allocate and […]

AUSTIN RICHARD DUTTON JR (AUSTIN R DUTTON JR) CRD#: 2739167   a broker from the Philadelphia area, was fined $200,000 by the Pennsylvania Department of Banking and Securities on Monday, July 24, 2017.  They cited alleged "dishonest or unethical practices in the securities business." The Financial Industry Regulatory Authority, Inc. (FINRA) reported on their BrokerCheck […]