Broker Michael McNulty Involved In Disputes Brought By Raymond James Clients Soreide Law Group provides you with an update regarding the FINRA BrokerCheck disclosures relating to securities broker Michael McNulty, also known as “Mike McNulty” (CRD#: 1493933, Boca Raton, Florida). It appears that McNulty worked for UBS PaineWebber and Raymond James before joining Lincoln Financial […]

Morgan Stanley Clients Bring Investment Disputes Concerning Broker Michael Rulison Soreide Law Group comes to you with new information regarding securities broker Michael Edward Rulison (CRD#: 407131, Syracuse, New York). Evidently, Rulison worked for securities firms RBC Dain Rauscher, Citigroup Global Markets, and Morgan Stanley. In fact, he joined Morgan Stanley in 2009 as a […]

Securities Broker Torry Morris (Lincoln Investment, Investors Capital Corp) In Disputes Alleging Sales Practice Violations The Financial Industry Regulatory Authority (“FINRA”) BrokerCheck report for securities broker Anthony Ryan Morris “Tony Morris” (CRD#: 2849581, El Paso, Texas) shows that his employer, Lincoln Investment (El Paso, Texas), permitted him to resign amid allegations of violating policy. BrokerCheck […]

Broker John Lowry Investigated By FINRA, Involved In Spartan Client Disputes Soreide Law Group provides you with some of the latest information in regard to securities broker John Dennis Lowry (CRD#: 4336146, New York, New York). It appears that Lowry, who is the CEO of Spartan Capital Securities LLC, faces an August 2020 FINRA investigation […]

FINRA Bars Broker Dan Jossen, And Investors File Disputes About His Life Insurance, Annuity Sales The Financial Industry Regulatory Authority (FINRA) declared on June 25, 2021 that it has barred securities broker Daniel “Dan” E. Jossen (CRD#: 5463761, Bethesda, Maryland) – the NYLife Securities broker – over allegations of Jossen’s sales practice violations. Not only […]

LPL Financial Client Brings Dispute About Investing In REIT, BDC Through Broker Laura Shrawder-Miles Soreide Law Group provides you with new information in regard to the allegations against securities broker Laura Renee Shrawder-Miles (CRD#: 2384721, Sunbury, Pennsylvania). Notably, four investors disputed Shrawder-Miles’s sales practices, and LPL Financial LLC disaffiliated with her for alleged misconduct. Let’s […]

Joseph Gunnar Clients File Disputes About Securities Broker Matt Gates The investment loss recovery counsel at Soreide Law Group provide you with the following FINRA BrokerCheck details regarding securities broker Matthew “Matt” Gates (CRD#: 4727945, New York, New York). It appears that Gates worked for securities firm Joseph Gunnar Co. LLC (2009 to 2020) as […]

Raymond James Clients File Disputes About Securities Broker John Cassandra Soreide Law Group provides you with the following information in regard to securities broker John Edward Cassandra (CRD#: 4270866, Boynton Beach, FL). Evidently, Cassandra, who works for Raymond James Financial Advisors as financial advisor (2009 to present) and securities broker (2004 to present), is involved […]

Oppenheimer Securities Broker, Financial Advisor David Brandt Involved In Investors' Disputes The Financial Industry Regulatory Authority (“FINRA”) BrokerCheck report for securities broker David Phillip Brandt (CRD#: 28908, St. Louis, Missouri) contains investor disputes. Evidently, Brandt is an Oppenheimer securities broker (January 2003 to present) and an Oppenheimer financial advisor (November 2007 to present). Let’s take […]