Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: LPL FINANCIAL LLC (Respondent). According to the lawsuit, the Claimant was solicited by the Respondent’s Financial Advisor, MARIO BRIAN BARONE (MARIO B BARONE), to invest in a speculative non-traded REIT now known as Pacific Oak Strategy Opportunity REIT. The lawsuit […]

Investors potentially incurred losses because of securities broker Michael Maggiore [CRD: 5596240, Woodbridge, New Jersey], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Michael Maggiore worked for Equitable Advisors LLC from October 2, 2008, to the present, including registrations in Woodbridge, New Jersey; Colts Neck, New Jersey; and Naples, Florida. Investors […]

Investors apparently complained about securities broker Chad Evan Nyitray [CRD: 2332391, Ann Arbor, Michigan], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Nyitray worked for Ameriprise Financial Services LLC from November 4, 2020, to the present, and previously for Equitable Advisors LLC from March 22, 1993, to November 24, 2020. Keep reading to […]

Investors have reportedly disputed the sales practices of securities broker Leo Rosner [CRD: 1011519, Beachwood, Ohio], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Rosner worked for Cambridge Investment Research Inc. and Cambridge Investment Research Advisors Inc. since August 2, 2019, after previously being registered with SagePoint Financial Inc. from November […]

Soreide Law Group is investigating potential investor claims involving sales practice violations by securities brokers and financial advisors related specifically to the recommendation and sale of KBS Real Estate Investment Trust III. This investment is a non-traded real estate investment trust focused on U.S. office properties, and it has become a growing concern for investors […]

Investors potentially experienced sales practice violations by securities broker William Paul Czaplewski (also known as Bill Czaplewski and Billy Czaplewski) [CRD: 2386057, Monona, Wisconsin], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Czaplewski worked for LPL Financial LLC from October 3, 1994, to the present as a broker and from January […]

Investors potentially experienced sales practice violations by securities broker Zhi Ying Guan (also known as Jeff Guan and Jeffrey Guan) [CRD: 7000349, San Mateo, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Zhi Guan worked for Emerson Equity LLC since December 18, 2020. Keep reading for a better understanding about the disclosures […]

Investors apparently complained about securities broker David E. Trimble [CRD: 5848398, Troy, Michigan], given the publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Trimble worked for Equitable Advisors LLC from November 24, 2010, to the present as a broker and since January 7, 2011, as a financial advisor. Read on to discover […]

Investors potentially incurred losses because of securities broker Nicholas Photiadis (also known as Nick Photiadis) [CRD: 2978120, Paramus, New Jersey], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Nicholas Photiadis has worked for LPL Financial LLC since March 18, 2011, in Paramus, New Jersey and Rockleigh, New Jersey. Read on to find out […]