LPL Broker James Booth Defrauds, Steals From Clients Soreide Law Group provides this latest update surrounding a problem securities broker by the name of James Thomas Booth (CRD#: 1906145, Norwalk, Connecticut). Notably, Financial Industry Regulatory Authority (“FINRA”) reports that 36 investors – including LPL Financial and Investment Financial Corporation clients – brought lawsuits or complaints […]

Broker Rocco Roveccio Sanctioned By FINRA, SEC The Financial Industry Regulatory Authority (“FINRA”) just sanctioned First Standard Financial Company securities broker Rocco Roveccio (CRD#: 2713144, Red Bank, New Jersey). The sanctions come after SEC barred the securities broker and after 6 investors filed disputes against him. Namely, these disclosures suggest that Roveccio sold unsuitable investments […]

Kalos Clients Might Have Been Sold Unsuitable, Misrepresented GPB Funds Soreide Law Group is reviewing possible investor disputes in regard to financial advisor Jason James Mosher (CRD#: 3070810, Canandaigua, New York). Namely, FINRA BrokerCheck indicates that securities brokers at Kalos Capital possibly sold unsuitable investments including GPB Funds. In fact, investor disputes involving one or […]

LPL Broker Dain Stokes Allegedly Misappropriated Funds Investor Alert! The Securities and Exchange Commission (“SEC”) barred LPL Financial securities broker Dain Farrell Stokes (CRD#: 2960801, Bedford, New Hampshire). These sanctions come after the New Hampshire Department of State Bureau of Securities Regulation suspended his licenses and issued him a fine for seemingly misappropriating investor funds […]

Barred Broker Oscar Francis Misappropriated Funds For Cocaine, Strip Clubs Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) shows alarming information in regard to disgraced securities broker Oscar Francis [CRD#: 5094722, Fort Lauderdale, Florida]. Namely, Securities and Exchange Commission (“SEC”) barred him for fraud. Also, five clients filed complaints about the securities broker, who worked […]

Disgraced Broker Paul Smith Involved In Investor Disputes Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports troubling allegations of sales practice violations by securities broker Paul W. Smith [CRD#: 1070735, Wayne, Pennsylvania]. Smith worked for Bolton Global Capital between 2007 and 2017. Namely, at least 17 investors disputed the sales practices of the securities […]

Newport, Paulson Investors Suggest Broker John Tarpinian Breached Fiduciary Duty Soreide Law Group is investigating potential investor claims against securities broker John Tarpinian [CRD#: 1013555, New York, New York]. Notably, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck shows that 12 clients contested securities recommendations or sales made by Tarpinian, who associated with Newport Coast Securities (“Newport”) […]

Jury Finds Donald Fowler Liable For Fraud Soreide Law Group is investigating potential investor claims against Donald Joseph Fowler [CRD#: 4989632, Rockville Centre, New York]. Notably, on February 25, 2020, in a civil action brought by the Securities and Exchange Commission (“SEC”) against Fowler in the U.S. District Court for the Southern District of New […]

Broker Robert DePalo Barred Following Fraud Conviction Investor Alert! Securities broker Robert DePalo (CRD#: 2946313, Greenwich, Connecticut) is no longer allowed to act as a broker or investment advisor, according to the Securities and Exchange Commission (“SEC”), who barred DePalo after he was convicted of fraud. Not only that, but FINRA barred the broker and […]