MICHAEL VETERE Losses? Investors are disputing the sales practices of TFS Securities Inc. general securities representative Michael Vetere (CRD#: 4275271, Bayside, New York), who registered through TFS Securities Inc. from April 28, 2016 to June 27, 2018. Notably, the Financial Industry Regulatory Authority (“FINRA”) shows on BrokerCheck that since February 12, 2018, at least three […]

THOMAS STUDER (Villages, Florida) Barred By FINRA Thomas Studer (CRD#: 6300308, The Villages, FL) is one of the latest securities brokers who the Financial Industry Regulatory Authority (“FINRA”) barred from the securities industry for attempts at thwarting a FINRA investigation. FINRA found Studer uncooperative when investigating his allegedly unauthorized activities. On May 20, 2019, Studer […]

FRANK KELLY Suspended For Unauthorized Trading The Financial Industry Regulatory Authority (“FINRA”) announced it has issued HD Vest Investment Services securities broker Frank Kelly (CRD#: 2028226, New Cumberland, Pennsylvania) a three month suspension and fine of $5,000. Mainly, FINRA found Kelly violated FINRA Rules on unauthorized trading and trading with discretion. The sanctions became effective […]

ATTENTION INVESTORS: Complaints Filed Against Brokers Cheskel Gottlieb, Mark Wasikonis, Stephen Wingard, Phillip Barringer MML Investors Services, LLC (CRD#: 10409, Springfield, Massachusetts) does business as an investment adviser firm and as a brokerage firm. The Financial Industry Regulatory Authority (“FINRA”) and the Securities and Exchange Commission (“SEC”) regulate MML Investors Services, LLC. Notably, according to […]

AATTENTION: Soreide Law Group Investigating MetLife Brokers Michael Miley, Chong Kim, Chris Maltese Soreide Law Group is investigating possible claims on behalf of customers who invested with brokers of MSI Financial Services Inc. (FINRA CRD#: 14251), also known as MetLife Securities, Inc. Specifically, the firm is reviewing possible claims of misconduct against MetLife brokers Michael […]

Soreide Law Group obtained the following information fro:m FINRA’s Disciplinary Report and BrokerCheck: ERIC S. DARTY (ERIC DARTY) CRD#: 6314905 a broker formerly with BBVA Securities in Birmingham, Alabama, was barred by FINRA on February 14, 2017, for failing to cooperate with a FINRA investigation into alleged misconduct. The FINRA report stated that ERIC DARTY […]

Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552, obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, July, 2013.” Henry Nguyen (CRD #5815024, Registered Representative, San Jose, California) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Nguyen consented to the […]

The following information was obtained on FINRA’s website’s ‘Disciplinary Actions, February 2012.”   Jeffrey Scott Donner (CRD #2631248, Registered Principal, Weston, Florida)   was barred from association with any FINRA member in any capacity. The sanction was based on findings that Donner executed several unauthorized transactions in customers’ accounts at his member firm without their […]

In a February 28th., 2012 article written by Liz Skinner for InvestmentNews.com, Skinner writes that the top securities regulator in the U.S. wants investment advisers and brokers to take a closer look at certain trading behaviors to help root out unauthorized trading in accounts. The Securities and Exchange Commission (SEC) said Monday in a risk […]