Investors potentially experienced sales practice violations due to securities broker Ralph Vallega Ganchero [CRD: 2601660, Westminster, California], based on public information on FINRA BrokerCheck. Evidently, Ganchero has worked for Citigroup Global Markets Inc. in West Hollywood, California, since January 13, 2016, working in the firm’s CWM Retail Sales division. Read below to learn more about […]

Investors potentially experienced sales practice violations due to securities broker Shane Appelbaum [CRD: 4772668, Boca Raton, Florida], based on disclosures on FINRA BrokerCheck. Specifically, Appelbaum has worked for Herbert J. Sims Co. Inc. since March 23, 2004, and also with Herbert J. Sims Capital Management Inc. since March 8, 2017. Read on to learn more […]

Investors might have sustained losses because of securities broker Robert Vincent Sessa (also known as Bob Sessa) [CRD: 1026924, Westlake Village, California], based on publicly available information reported on FINRA BrokerCheck. Robert Sessa worked for Western International Securities Inc. and Western International Securities from December 12, 2008 to June 5, 2025. LPL Financial LLC employed […]

Investors possibly experienced losses due to securities broker Stephen Parker Nitz (also known as Steve Nitz) [CRD: 1298437, Ridgefield, Connecticut], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Stephen Nitz worked for Osaic Institutions Inc. from May 10, 2007 to May 8, 2024, and works for Steward Partners Investment Solutions […]

Investors potentially experienced losses because of securities broker William Roy Bredt (also known as Bill Bredt) [CRD: 1621507, West Conshohocken, Pennsylvania], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that William Bredt has worked for Raymond James Associates Inc. since March 18, 1999, as a broker, and since January 25, 2010, […]

Investors reportedly may have incurred losses due to securities broker Edward Carchia Jr. (also known as Ed Carchia Jr. and Edward Karchia Jr.) [CRD: 1328905, Paramus, New Jersey], according to disclosures on FINRA BrokerCheck. According to the regulator, Edward Carchia worked for Morgan Stanley from June 1, 2009, to July 21, 2022. Here’s more about […]

Soreide Law Group is investigating possible investor claims against securities broker Robert W. Strang III [CRD: 3271839, Westfield, New York]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Equitable Advisors LLC. Here is a brief summary of the disclosures about Strang. Bear […]

Soreide Law Group is investigating possible investor claims against securities broker Rene Javier Castro [CRD: 2559410, Upland, California]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Center Street Securities Inc. Evidently, investors allege sales practice violations in these disputes, including inappropriate advice. […]

Soreide Law Group is investigating possible investor claims against Michael James Thaler (CRD: 2557899, Henrico, Virginia). Evidently, Commonwealth of Virginia is investigating the securities broker, who worked for Cambridge Investment Research Inc. Supposedly, Thaler possibly was the subject of a client complaint. Here is a brief summary of Commonwealth of Virginia’s allegations against Thaler. Commonwealth […]