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February 24, 2024
SEC Brings Misappropriation Charges Against Jesus Rodriguez

Soreide Law Group is looking into possible investor claims on behalf of those who incurred losses through Jesus Rodriguez [CRD: 4888685, El Paso, Texas]. Rodriguez was previously registered as both a financial adviser and a securities broker, with past affiliations including Morgan Stanley in El Paso, Texas, where he was registered from June 1, 2009, […]

February 20, 2024
Felipe Arrieta Facing SW Financial Clients’ Unauthorized Trading Claims

Soreide Law Group is reviewing potential investor claims on behalf of individuals who incurred losses from securities broker Felipe Nery Arrieta [CRD: 4142123, Melville, New York]. Notably, Arrieta works for several firms, including Vestech Securities Inc. in St. Louis, Missouri since January 9, 2024, and previously with Great Point Capital LLC, Moloney Securities Co. Inc., […]

February 18, 2024
Bernard Jasmin Involved In Investor Disputes Alleging Churning

Some investors have potentially experienced damages because of securities broker Bernard Francis Jasmin, also known as Berny Francis, Bernard Jasmin, and Berny Jazz [CRD: 4442394, New York, New York], according to Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Jasmin worked for PHX Financial Inc. in New York, NY, from October 26, 2020, to January 20, […]

February 16, 2024
Vora Wealth Clients Accuse Dharmesh Vora Of Breach Of Fiduciary Duty

Soreide Law Group is reviewing potential investor claims on behalf of individuals who incurred losses from securities broker Dharmesh Virendra Vora [CRD: 2629494, Flagstaff, Arizona]. Evidently, Vora has worked for Vora Wealth Management in Flagstaff, Arizona, since April 4, 2011. Read on to discover more about the disclosures involving Dharmesh Vora, including investor disputes alleging […]

February 15, 2024
Andrew Schell Linked To D.A. Davidson Clients’ Unauthorized Trading Disputes

Some investors have supposedly experienced damages because of securities broker Andrew David Schell [CRD: 6536347, Colorado Springs, Colorado], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Schell worked for D.A. Davidson Co. from January 16, 2020, to March 28, 2022, and previously for Merrill Lynch Pierce Fenner Smith Incorporated from September 18, […]

February 5, 2024
Investor Concerns Surrounding Nordo Nissi

Soreide Law Group is looking into potential claims on behalf of investors who have suffered losses because of Nordo Mauro Nissi [CRD: 1666385, York, Maine]. Evidently, Nissi worked for M. S. Howells Co. and Morgan Stanley. Notably, Nissi's record is marked by multiple client complaints and a regulatory action. Below, investors will find details on […]

January 31, 2024
Lilia Nia Discloses Regulatory Sanctions And Investor Disputes

Securities broker Lilia Nia [CRD: 6018019, Fairfield, New Jersey], who worked for Purshe Kaplan Sterling Investments from 2013 to 2021, discloses regulatory sanctions and investor disputes on FINRA BrokerCheck. Read on to learn more about these disclosures. Suspension Imposed By New Jersey Bureau Of Securities On January 15, 2023, the New Jersey Bureau of Securities […]

January 26, 2024
Investigating Claims Involving James Bernthal

Soreide Law Group is investigating potential claims on behalf of individuals who have encountered losses through James Bernthal [CRD: 4871243]. Evidently, he joined Aegis Capital Corp in New York, New York in 2020. Bernthal was also employed with Dawson James Securities Inc. in the same city from 2016 to 2020. Investors are advised to carefully […]

January 26, 2024
Newbridge, Morgan Stanley Investors Dispute Ivan Gefen

Soreide Law Group is currently investigating claims on behalf of investors who might have suffered losses due to Ivan Gefen [CRD: 1229418], a broker and investment adviser in Boca Raton, Florida. Gefen has been associated with Newbridge Securities Corporation and Newbridge Financial Services Group Inc since April 2016. Below, investors will find crucial disclosures related […]

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