FINRA Bars Peter Ianace For Violating FINRA Rules The Financial Industry Regulatory Authority (“FINRA”) reports troubling information in regard to securities broker Peter V. Ianace (CRD#: 3238078, Plano, Texas). Significantly, the financial industry watchdog took away Ianace’s ability to be a securities broker for a FINRA firm, which includes nearly all major securities firms in […]

Broker Dean Nowak Under Fire For Bad Advice At Taylor Capital Management Investor Alert! Soreide Law Group provides this update in regard to a problem securities broker by the name of Dean R. Nowak (CRD#: 1091819, Winter Park, Florida). Notably, FINRA BrokerCheck shows that the securities broker, who worked for Taylor Capital Management and Newbridge […]

DA Davidson Allegedly Recommends Bad Investments Investors are filing disputes against securities broker DA Davidson Co. securities broker Gregory Roy Tucker (CRD#: 501274, Des Moines, Iowa). Notably, the Financial Industry Regulatory Authority (“FINRA”) BrokerCheck report for Tucker shows that at least 8 clients disputed his sales practices since 2016. These investors suggest that Tucker provided […]

Merrill Lynch's Heather Weber Allegedly Sold Unsuitable, Misrepresented Investments Soreide Law Group is reviewing possible investor claims against Heather Peterson Weber (CRD#: 2911524, Clearwater, Florida). Evidently, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck shows that the securities broker, who joined Merrill Lynch in 2006, is involved in 10 investor disputes. Overall, these lawsuits seem to suggest […]

Investors Indicate That Larry Fawcett Misrepresented Investments Soreide Law Group is looking into potential investor disputes against securities broker Lawrence “Larry” John Fawcett Jr. [CRD#: 5851474, Los Angeles, California]. Notably, Financial Industry Regulatory Authority (“FINRA”) sanctioned the securities broker 3 times between 2017 and 2019. Also, at least 8 clients brought complaints about Fawcett, and […]

Broker Jerry Raines Purportedly Misrepresents Woodbridge Investments To Clients Investors are filing disputes because of the actions of securities broker Jerry Raines [CRD#: 4578689, Kilgore, Texas]. Notably, the securities broker, who worked for Signal Securities and HD Vest Investment Services, reports 17 investor disputes on Financial Industry Regulatory Authority (“FINRA”) BrokerCheck. Apparently, Signal Securities clients […]

Broker Rodney Potratz Allegedly Caused Investor To Lose Millions The Financial Industry Regulatory Authority (“FINRA”) reports troubling allegations of sales practice violations by Rodney D. Potratz (CRD#: 2367896, Clive, Iowa). Apparently, the securities broker, who joined FSC Securities Corporation in 2003 and who works in its California and Iowa offices, is subject of two investor […]

Investors Dispute Sales Practices Of Sylvester Knox Investors continue to dispute the sales practices of securities broker Sylvester Knox (CRD#: 1625705, Short Hills, New Jersey). Namely, the securities broker, who Merrill Lynch disaffiliated with in 2017 for allegedly making unauthorized trades and misrepresentations, is entangled in 25 client disputes. These client disputes, disclosed on FINRA […]

DAVID SILBERG Sanctioned By Massachusetts Regulator Evidently, Massachusetts Securities Division issued a Consent Order on September 27, 2018, placing securities broker David Silberg (CRD#: 1970484, Melville, New York) on heightened supervision. The Division prohibited Silberg, who affiliated with Aegis Capital Corp. between 2010 and 2019, from soliciting investment purchases from clients for 5 years. Not […]