Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Richard W. Brown [CRD: 1595628, Fort Myers, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Brown worked for Summit Brokerage Services from May 2, 2003, to September 20, 2019. Continue reading to learn more […]

Soreide Law Group is investigating potential claims on behalf of investors who may have suffered losses due to the actions of Richard Whitfield Brown [CRD: 1595628, Fort Myers, Florida]. Evidently, Brown has a history of employment with Summit Brokerage Services Inc. from May 2, 2003, to September 20, 2019, and more recently with Cetera Advisor […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Francis Joseph Velten Jr. (also known as Frank Velten) (CRD: 2291911, New Port Richey, Florida). Not only has FINRA sanctioned Velten for failing to comply with a FINRA investigation into possible violations of FINRA rules, but investors disputed his sales practices. However, Velten […]

Broker Bruce Ciallella Discloses Summit Brokerage Client Disputes Soreide Law Group comes to you with new information on FINRA BrokerCheck in regard to securities broker Bruce Anthony Ciallella (CRD#: 719050, Boca Raton, Florida). Evidently, Ciallella worked for securities brokers Merrill Lynch, Summit Brokerage Services (2005 to 2017), IFS Securities (2017 to 2019), and Cabot Lodge […]

Cetera Advisor Networks Discharges Kirk Knollman Over Discretionary Trading Allegations The Financial Industry Regulatory Authority (FINRA) contains important disclosures concerning securities broker Kirk William Knollman (CRD#: 2089445, Loveland, Ohio). Notably, Cetera Advisor Networks LLC discharged him as a securities broker. Also, two investor disputes allege unsuitable trading. One concerns Knollman’s actions at Cetera, while the […]

Newbridge Securities Broker John Boatright Targeted In Disputes About Churning, Misrepresentation FINRA BrokerCheck shows that securities broker John Richard Boatright (CRD#: 2545676, Duluth, Georgia) is involved in investor disputes. It appears that this securities broker worked for firms including JP Turner and Company (2015), Summit Brokerage Services (2015 to 2016), and Newbridge Securities Corporation (2016 […]

Summit Brokerage Services Investors File Arbitration Claims About Securities Broker Norman Robbins Soreide Law Group has come across concerning information in regard to securities broker Norman Arnold Robbins (CRD#: 731352, Boca Raton, Florida). Namely, six investors brought complaints or FINRA Arbitration Claims alleging sales practice violations by Robbins. It appears that recent disputes focus on […]

SUMMIT BROKERAGE SERVICES Reprimanded By FINRA The Financial Industry Regulatory Authority (FINRA”) announced that it sanctioned Summit Brokerage Services Inc. (CRD#: 34643, Boca Raton, Florida). Evidently, Summit failed to supervise securities brokers’ investment recommendations to prevent excessive trading. The securities firm also failed to supervise securities brokers’ use of consolidated reports. Summit “accepted” that it […]