Stifel Nicolaus Broker Barred After Pleading Guilty To Fraud Soreide Law Group is investigating potential investor claims for losses caused by securities broker Mitchell Yanow (CRD#: 2148171, Boca Raton, Florida). Notably, the Securities and Exchange Commission (“SEC”) barred the securities broker, who associated with Stifel, Nicolaus & Company, Incorporated (“Stifel Nicolaus”) from 2015 to 2018. […]

Morgan Stanley's Barry Connell Allegedly Misappropriated Investor Funds Soreide Law Group is investigating potential investor claims against securities broker Barry Connell (CRD#: 3070984, Ridgewood, New Jersey). Notably, the Financial Industry Regulatory Authority (“FINRA”), who barred the broker, reports through BrokerCheck that a slew of clients filed disputes about him.  Mainly, these clients allege Connell’s misdeeds […]

Broker Daniel Levine Barred By SEC, FINRA and Colorado Division of Securities Former Morgan Stanley broker Daniel Todd Levine (CRD#: 2874319, Greenwood Village, Colorado) is one of the latest securities brokers to be expelled from the industry. Evidently, Securities and Exchange Commission (“SEC”), Financial Industry Regulatory Authority (“FINRA”) and Colorado Division of Securities barred the […]

SEC Bars Richard Cody After He Pleads Guilty To Investment Adviser Fraud Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports alarming information in regard to securities broker Richard Cody [CRD#: 2794558, Spring Lake, New Jersey]. Not only has the Securities and Exchange Commission (“SEC”) and Financial Industry Regulatory Authority (“FINRA”) both barred the securities […]

SEC Bars Raymond James's Joel Burstein Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports troubling information in regard to securities broker Joel Burstein [CRD#: 3257591, Coral Gables, Florida]. Not only has the Securities and Exchange Commission (“SEC”) barred Burstein for allegedly helping to misappropriate client funds, but at least 7 clients took issue with […]

Broker Chris Kubiak Barred By SEC After Pleading Guilty To Wire Fraud Soreide Law Group is reviewing possible investor claims against securities broker Chris Kubiak [CRD#: 1527367, Brookfield, Wisconsin]. Apparently, the Securities and Exchange Commission (“SEC”) barred the securities broker pursuant to Order 3-19345. Notably, Kubiak pled guilty to at least 1 count of wire […]

SEC Contemplating Barring ERNEST ROMER The Securities and Exchange Commissions issued an Order February 22, 2019 commencing administrative proceedings to determine whether to bar securities broker Ernest Romer III (CRD#: 2311741, Shelby Township, Michigan). Evidently, SEC initiated these proceedings due to Romer’s criminal conviction on 13 counts of embezzlement. Here's more on the alarming allegations […]

SEC Bars Securities America's Hector May Soreide Law Group is evaluating possible claims against Securities America, Inc. general securities representative and Executive Compensation Planners Inc. President, Hector May (CRD#: 323779, New City, NY). Evidently, in December 2018, May pleaded guilty to 1 count of investment adviser fraud and 1 count of conspiracy to commit wire […]

GREGORY DEAN Barred by FINRA On August 15, 2019, the Financial Industry Regulatory Authority (“FINRA”) barred Worden Capital Management LLC securities broker Gregory Dean (CRD#: 4922996, Rockville Centre, NY) for unsuitable trading and churning. Evidently, Dean, a general securities representative and securities principal who worked for brokerages including Worden Capital Management (2014 – 2019) and […]