Soreide Law Group is investigating possible investor claims against Azmi P. Sharif (CRD: 6481342, Elmhurst, Illinois). Evidently, LPL Financial LLC terminated the securities broker for cause. Supposedly, Sharif possibly engaged in an undisclosed outside business activity and engaged in private securities transactions. Here is a brief summary of LPL Financial LLC’s allegations against Sharif. LPL […]

FINRA sanctioned securities broker Maria Pia Acevez Perez (CRD: 2981386, Miami, Florida). Evidently, the securities broker, who worked for VectorGlobal WMG, disclosed a regulatory action on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Allegedly, Perez failed to comply with FINRA in a timely manner concerning an investigation. For more about this regulatory action against Reese, see […]

Soreide Law Group is investigating possible investor claims against securities broker Dominic John Scalzi (CRD: 1689662, New York, New York). Evidently, FINRA sanctioned the securities broker, who worked for Deutsche Bank Securities Inc. Allegedly, Scalzi failed to respond to FINRA’s request for information. Here is a brief summary of FINRA’s allegations against Scalzi. Scalzi Barred […]

Soreide Law Group is investigating possible investor claims against securities broker James Charles Naify (CRD: 2316318, Beverly Hills, California). Evidently, Merrill Lynch Pierce Fenner Smith Incorporated terminated the securities broker for cause. Also, a UBS Financial Services Inc. investor complained about him. Here is a brief summary of the allegations against Naify. Merrill Lynch Pierce […]

Soreide Law Group is investigating possible investor claims against securities broker Tracy Lynn Morton (CRD: 4880691, Tulsa, Oklahoma). Evidently, FINRA sanctioned the securities broker, who worked for Allstate Financial Services LLC. Allegedly, Morton failed to cooperate with FINRA’s investigation. Here is a brief summary of FINRA’s allegations against Morton. FINRA Bars Morton For Failure To […]

Soreide Law Group is investigating possible investor claims against securities broker Alicia Myrthala Hinojosa Gutierrez (CRD: 2964653, New York, New York). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that one or more investors disputed the sales practices of the securities broker, who worked for Merrill Lynch Pierce Fenner Smith Incorporated. Here is a brief […]

Soreide Law Group is investigating possible investor claims against securities broker Thomas Jacob Ciolek (CRD: 2314551, Franklinville, New York). Evidently, FINRA sanctioned the securities broker, who worked for LPL Financial LLC. Allegedly, Ciolek failed to testify when FINRA investigated him. Here is a brief summary of FINRA’s allegations against Ciolek. Ciolek Barred By FINRA For […]

Soreide Law Group is investigating possible investor claims against securities broker William Forrest Winchester III (also known as Bill Woods) (CRD: 4404327, Chattanooga, Tennessee). Notably, FINRA sanctioned the securities broker, who worked for Raymond James Financial Services Inc. Allegedly, Winchester borrowed client funds and engaged in an undisclosed outside business activity. Here is a brief […]

Soreide Law Group is investigating possible investor claims against securities broker Allen Hershberg (CRD: 1112312, Beverly Hills, California). Notably, FINRA sanctioned the securities broker, who worked for Morgan Stanley. Allegedly, Hershberg failed to provide information and documents to FINRA when it investigated potential FINRA rule violations governing outside business activities. Here is a brief summary […]