Investors Take Aim At Broker Kevin Doyle Soreide Law Group is reviewing possible investor claims of sales practice violations against Aegis Capital Corp securities broker Kevin Doyle (CRD#: 2189452, Mineola, New York). Namely, investors brought disputes about the securities broker, who joined Aegis Capital Corp in September 2017. Here’s a summary of these disclosures which […]

Losses From Lance Ziesemer? Soreide Law Group is investigating possible claims of excessive trading and unsuitable trading by Feltl & Company securities broker Lance Ziesemer (CRD#: 2342087, Wayzata, Minnesota). Notably, Ziesemer reports on FINRA BrokerCheck that at least 14 clients brought complaints or arbitration claims about his sales practices. It appears from those investor claims […]

The South Florida-based Soreide Law Group (888-760-6552) obtained the following information from FINRA’s website under, “Disciplinary and Other FINRA Actions, July 2016.” James P. Scullin (CRD #1577362, Miami, Florida) was assessed a deferred fine of $15,000 and suspended by FINRA for nine months for allegedly placing an unauthorized trade in a client’s account. FINRA’s findings […]