FINRA Sanctions Reported Against Securities Broker Allan Katz The Financial Industry Regulatory Authority (“FINRA”) contains new information about securities broker Allan Katz (CRD#: 2166004, Staten Island, New York). Specifically, FINRA issued Katz a fine and suspension to resolve allegations of his misuse of client signatures. Also, BrokerCheck shows that Royal Alliance Associates Inc. disaffiliated with […]

Securities Broker Christopher Hildebrandt Involved In Investor Disputes, Sanctioned By FINRA Soreide Law Group has new information to share with you in regard to securities broker Christopher Thomas Hildebrandt (CRD#: 1318476, Cape May Court House, New Jersey). Namely, the securities broker, who worked for securities firm Principal Securities Inc. from March 2003 to November 2018, […]

Securities Broker Thomas Chandler Resigns From Kovack Securities Over Misconduct Allegations FINRA BrokerCheck shows important information in regard to securities broker Thomas Wayne Chandler (CRD#: 1082136, Fort Lauderdale, Florida). Evidently, Chandler worked for securities firms Merrill Lynch, LPL Financial (2014 to 2018) and Kovack Securities (2019 to 2020). Notably, both Kovack Securities and LPL Financial […]

Ameriprise Broker Anthony Leopizzi Involved In Disputes Alleging Unauthorized, Unsuitable Transactions Soreide Law Group has come across concerning information in regard to securities broker Anthony John Leopizzi (CRD#: 1697946, Minneapolis, Minnesota). Specifically, the Financial Industry Regulatory Authority (“FINRA”) reports that seven investors brought disputes regarding Leopizzi’s sales practices. Here’s more on what these clients have […]

Securities Broker Mark Yadron Involved In Disputes Alleging Bad Advice, Unauthorized Transactions Investor Alert! The Financial Industry Regulatory Authority (“FINRA”), who regulates most securities professionals in the United States, discloses investor disputes about securities broker Mark David Yadron (CRD#: 1520648, Prescott, Arizona). Notably, clients allege unsuitable and unauthorized trading by Yadron, who worked for Merrill […]

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 Ed Matthes Reportedly Pleads Guilty To Wire Fraud The investment loss recovery team at Soreide Law Group brings you this Investor Alert in regard to barred securities broker Edward “Ed” Earl Matthes (CRD#: 2788055, Oconomowoc, Wisconsin). Evidently, Matthes worked for securities firms including Thrivent Investment Management and Mutual of Omaha Investor Services. Notably, Matthes […]

Barred Broker Thomas Marino Sanctioned Again By FINRA Investor Alert! FINRA barred securities broker Thomas John Marino (CRD#: 4438533, Lake Worth Beach, Florida). Not only that, but the securities broker, who worked for firms JW Cole Financial and RM Stark, is involved in at least three investor disputes. These disclosures contain allegations that Marino sold […]

FINRA Investigating Bankers Life Broker Ryan Tarjanyi For Unauthorized Transactions Soreide Law Group is reviewing possible investor lawsuits against securities broker Ryan Owen Tarjanyi (CRD#: 6065805, Greensburg, Pennsylvania). Notably, the Financial industry Regulatory Authority (“FINRA”) BrokerCheck report on Tarjanyi shows that he maintained employment at ProEquities from 2012 to 2016, Bankers Life Securities from 2016 […]