Latest Securities Lawyer News

Melinda Abood (UBS Financial Services) Targeted In Investor Disputes The Financial Industry Regulatory Authority (“FINRA”) reports troubling information in regard to securities broker Melinda Joyce Abood (CRD#: 867463, New York, New York). Namely, the securities broker and financial advisor, who joined UBS Financial Services in April 1986, is involved in five investor disputes. Here’s more […]

Investors File Disputes About Broker Todd Ellentuck (Aegis, UBS) The Financial Industry Regulatory Authority (“FINRA”) reports serious information about a securities broker by the name of Todd Michael Ellentuck (CRD#: 1321452, Morristown, New Jersey). Mainly, at least three investors disputed Ellentuck’s sales practices. In addition, UBS Financial Services Inc. disaffiliated with Ellentuck due to unauthorized […]

Broker Alex Herrera Is Barred By FINRA, Involved In Investor Disputes The Financial Industry Regulatory Authority (“FINRA”) reports troubling information in regard to securities broker Alex Gerardo Herrera (CRD#: 3204779, Coral Gables, Florida). Notably, FINRA BrokerCheck confirms that at least three investors filed disputes alleging sales practice violations by the securities broker, who worked for […]

Broker Bill Hightower Barred By SEC And Faces Investor Lawsuits The Financial Industry Regulatory Authority (“FINRA”) reports troubling information in regard to securities broker William Andrew Hightower who is known as Bill Hightower (CRD#: 2152369, Houston, Texas). It is not commonplace for brokers to have 12 disclosures on their BrokerCheck record like Hightower has. Namely, […]

Title goes here Financial Industry Regulatory Authority BrokerCheck contains a number of alarming concerns surrounding the sales practices of financial advisor Kirk Badii (CRD#: 5829768, Los Angeles, California). In summary, five investors brought lawsuits or complaints about the broker, who worked for Cantella (2018 to 2020), Raymond James (2018) and UBS Financial Services (2012 to […]

Broker John Fulton Supposedly Misrepresented Investments To UBS Clients Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) shows that four or more investors brought complaints or lawsuits against securities broker John Seiberling Fulton (CRD#: 2481439, West Palm Beach, Florida). Apparently, these investors suggest that Fulton, who has worked for UBS Financial Services since 2002, caused […]

Broker Scott Rosenberg Under Fire For Possible Bad Investment Sales Soreide Law Group is investigating whether to bring investor disputes involving Scott M. Rosenberg (CRD#: 2754292, New York, New York). Alarmingly, Financial Industry Regulatory Authority (“FINRA”) shows on BrokerCheck that between April 2018 and June 2020, more than 20 investors brought disputes about Rosenberg’s sales […]

Securities Broker Nancy Glassman Might Have Made Bad Trades Soreide Law Group is reviewing potential investor claims alleging bad securities business by Nancy Dawn Glassman (CRD#: 1734992, New York, NY). Namely, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck shows that there are 4 investor disputes regarding the securities broker. Evidently, she worked for UBS Financial Services […]

UBS Clients Take Issue With Matt Buchsbaum's Options Overlay Strategy Recommendation Soreide Law Group is reviewing possible investor claims against broker Matthew Stern Buchsbaum (CRD#: 2220565, New York, New York). According to FINRA BrokerCheck, a number of his clients filed disputes about his sales practices. In fact, clients suggest that Buchsbaum placed them in unsuitable […]