Soreide Law Group is investigating possible investor claims against securities broker Kaival Patel AKA Kaival Patel [CRD#: 4470522, Hackensack, NJ]. Notably, New Jersey Bureau Securities sanctioned the securities broker, who worked for Stifel Nicolaus Company. Allegedly, Patel was sanctioned because he was barred by FINRA. Here is a brief summary New Jersey Bureau Securities’ allegations […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Andrew Elsoffer AKA Andrew Bruce Elsoffer [CRD#: 2580009, Pepper Pike, OH]. Evidently, investors disputed the sales practices of the securities broker, who worked for Stifel Nicolaus Company. Additionally, the securities broker discloses a regulatory enforcement action. However, Elsoffer denies the allegations of sales […]

Soreide Law Group is investigating possible investor claims against securities broker Michael Anthony Fahsholtz [CRD#: 2057306, Wenatchee, WA]. Fahsholtz worked for Stifel Nicolaus & Company Inc. from 2011-2020 and Wells Fargo from 2005-2011. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that Stifel Nicolaus & Company investors disputed Fahsholtz’s sales practices. Evidently, investors allege sales […]

Investors have come forward with complaints about securities broker Stephen Paul Courtney [CRD#: 1141394, Pasadena, California]. Evidently, the securities broker, who worked for Stifel Nicolaus Co., discloses investor disputes on FINRA BrokerCheck. Notably, one or more clients allege omissions, misrepresentations, unsuitable transactions, and negligence. For more on these disclosures about Courtney, see below. However, please […]

Stifel Nicolaus Investors Bring Disputes About Broker Kevin McKenna Soreide Law Group is reviewing investor complaints concerning securities broker Kevin Patrick McKenna (CRD#: 1886142, Wausau, Wisconsin), as disclosed on FINRA BrokerCheck. It appears that the disclosures involving McKenna concern his employment Stifel Nicolaus. Here’s more about the allegations of breach of fiduciary duty and unauthorized […]

Broker Andrew Bransky (Stifel Nicolaus, BC Ziegler) Involved In Investor Disputes The Financial Industry Regulatory Authority (FINRA) reports that clients disputed the sales practices of securities broker Andrew J. Bransky (CRD#: 2680736, Chicago, Illinois). Evidently, Bransky worked for securities firms Principal Financial Securities, Wachovia Securities, BC Ziegler and Company, and Stifel Nicolaus and Company. Evidently, […]

FINRA Bars Securities Broker Mike Iannarino, And A Private Client Services Investor Files A Dispute About Him Soreide Law Group provides you with an update on the FINRA BrokerCheck disclosures connected to Michael Joseph Iannarino (“Mike Iannarino”) (CRD#: 1258453, Columbus, Ohio). First, FINRA barred Iannarino for allegedly refusing to provide information and documents when it […]

Securities Broker Adam Summers Terminated By Stifel Nicolaus, Referenced In Investor Dispute Soreide Law Group provides you with an update on securities broker Adam Petersen Summers (CRD#: 5587343, Frankfort, Illinois). It appears on Financial Industry Regulatory Authority (FINRA) BrokerCheck that Summers worked for securities firms Wells Fargo Clearing Services LLC (October 2010 to January 2021), […]

Stifel Nicolaus Broker Alex Perry Barred By FINRA, Facing Investor Disputes The Financial Industry Regulatory Authority (“FINRA”) barred Matthew Alexander “Alex” Perry (CRD#: 5985300, Columbia, Maryland). This means that he cannot work as a FINRA-member securities broker or otherwise associate with a FINRA-member brokerage firm. This decision is the result of an investigation by FINRA […]