Raymond James' Michael Biedny Fined By FINRA And Accused Of Sales Practice Violations The Financial Industry Regulatory Authority (FINRA) reportedly issued a suspension and fine to securities broker Michael Alan Biedny (CRD#: 867868, Clarence, New York). This is to resolve allegations of Biedny violating a FINRA rule by concealing money he received from a senior […]

Securities Broker Adam Summers Terminated By Stifel Nicolaus, Referenced In Investor Dispute Soreide Law Group provides you with an update on securities broker Adam Petersen Summers (CRD#: 5587343, Frankfort, Illinois). It appears on Financial Industry Regulatory Authority (FINRA) BrokerCheck that Summers worked for securities firms Wells Fargo Clearing Services LLC (October 2010 to January 2021), […]

Cetera Investment Services Clients Allege Unsuitable REITs By Mark Senofonte Financial Industry Regulatory Authority (FINRA) BrokerCheck shows that seven investors filed disputes about securities broker Mark Angelo Senofonte (CRD#: 2038108, Doylestown, Pennsylvania). These disputes mainly concern Senofonte’s actions at Cetera Investment Services, where Senofonte worked as a securities broker from February 2007 to August 2021. […]

Morgan Stanley Disaffiliates With Securities Broker Robert Mitchell Following Client Disputes Soreide Law Group has important information to share with you regarding securities broker Robert Lynn Mitchell (CRD#: 1523211, Frisco, Texas). Namely, Morgan Stanley, who employed Mitchell from June 2009 to February 2021, disaffiliated with him for alleged outside business activities. Not only that, but […]

Securities Broker Todd Phillips Serves Suspension As Securities Broker, Faces ProEquities Investors' Disputes About FIP LLC Purchases Soreide Law Group provides you with important information relating to sanctions and investment disputes reported on the Financial Industry Regulatory Authority (FINRA BrokerCheck record of securities broker David Todd Phillips (CRD#: 3094195, Gilbert, Arizona). Namely, Phillips, who worked […]

FINRA Bars Securities Broker George McCaffrey Following Private Securities Transactions Investigation Soreide Law Group has news to share with you regarding sanctions and investor claims relating to George Louis McCaffrey (CRD#: 847377, Englewood, Colorado). Specifically, the securities broker, who worked for NTB Financial Corporation from 1989 through 2017, is no longer allowed to be a […]

Wells Fargo, SunTrust Investors File Disputes About Securities Broker Raul Benitez The Financial Industry Regulatory Authority (FINRA) discloses through BrokerCheck that investors filed disputes about securities broker Raul Jorge Benitez (CRD#: 4457185, Aventura, Florida). Particularly, four investors filed complaints, and allegations in one or more of them include misrepresentation and suitability. Here’s more on these […]

Stoever Glass, HJ Sims Clients File Disputes About Securities Broker Adam Goodman Soreide Law Group is looking into bringing potential investor lawsuits alleging misconduct against securities broker Adam Craig Goodman (CRD#: 2263780, Boca Raton, Florida). It appears that seven investors have disputed the sales practices of the securities broker, who worked for firms Herbert J. […]

Broker Dustin Blount Barred By FINRA And Involved In An MML Investor's Dispute Soreide Law Group has important information to share with you regarding securities broker Dustin Michael Blount (CRD#: 5267680, Vicksburg, Mississippi). Specifically, it appears on BrokerCheck that in addition to him being discharged for alleged misconduct, the broker is the subject of criminal […]