Triad Advisors Securities Broker Mark Just In Disputes Regarding Potentially Unsuitable Alternative Investments Soreide Law Group is reviewing possible investor lawsuits involving Mark William Just (CRD#: 1138738, Indianapolis, Indiana), who works for Triad Advisors as securities broker and for The Just Company as financial advisor. Specifically, the Financial Industry Regulatory Authority (“FINRA”) issued Just sanctions […]

Geneos Broker Joe Sturniolo Possibly Caused Investor Losses Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) BrokerCheck report for Geneos Wealth Management securities broker Joseph “Joe” Sylvester Sturniolo (CRD#: 1094557, Denver, Colorado) contains alarming information from clients of Geneos and First Allied Securities. Evidently, Sturniolo has worked for Geneos Wealth Management since 2006 in Denver, […]

Investors Dispute Arni Diamond's Alternative Investment Sales Soreide Law Group provides you with this Investor Alert in regard to securities broker Arni Jay Diamond (CRD#: 2667392, Jacksonville, Florida). As reported on FINRA BrokerCheck, eight or more investors disputed Diamond’s sales practices. Just on October 15, 2020, Dempsey Lord Smith permitted Diamond to resign amid allegations […]

Raymond James' Thomas OBrien Involved In Investor Disputes Investors are coming forward with disputes concerning Thomas OBrien [CRD#: 2282208, Shreveport, Louisiana]. Notably, the securities broker, who has worked for Raymond James Associates since 2013, discloses three investor disputes on Financial Industry Regulatory Authority (“FINRA”) BrokerCheck. Notably, Raymond James Associates clients indicated that OBrien, among other […]

Broker Jay Zwibel Sold Unsuitable Investments, Clients Suggest Investors are bringing lawsuits indicating that their losses have been caused in part by securities broker Jason “Jay” Bell Zwibel [CRD#: 2460258, Wellington, Florida]. Apparently, the securities broker, who joined Garden State Securities in January 2010, discloses via Financial Industry Regulatory Authority (“FINRA”) BrokerCheck that at least […]

Santander Securities' Jaime Echandi Allegedly Sold Bad Puerto Rico Bonds And Funds The Financial industry Regulatory Authority (“FINRA”) reports myriad investors disputing the sales practices of former Santander Securities LLC broker Jaime Echandi (aka “Jaime Santiago”) (CRD#: 2464033, Guaynabo Puerto Rico). Specifically, his BrokerCheck report shows that 23 investors complained since 2014, with most disputes […]

Losses From Robert Rotunno? The Financial Industry Regulatory Authority (“FINRA”) BrokerCheck discloses alarming allegations of sales practices violations committed by securities broker Robert Rotunno (CRD#: 4025263, New York, NY). Notably, 11 disclosures about him concern disputes from clients of Laidlaw and Company (UK) Ltd. (“Laidlaw”), where Rotunno worked from 2004 to 2016, and 1 concerns […]

JOHN PRONOVOST Misrepresent Your Investments? Soreide Law Group is looking into possible investment-loss related disputes on behalf of clients who invested with Cambridge Investment Research, Inc. securities broker John Pronovost (CRD#: 1990612, Watertown, CT). As the Financial Industry Regulatory Authority (“FINRA”) reports on BrokerCheck, Pronovost, who has been registered through the firm since February 29, […]

AFinancial Industry Regulatory Authority, Inc. (FINRA) arbitration panel ordered Morgan Stanley and one of  their advisors, STEVEN PHILIP ANDERSON (STEVE ANDERSON, STEVEN P ANDERSON) CRD#: 1254635 to return a client’s investment in two private placement funds, which totaled $536,000 and also pay him $37,500 in damages for what the client claimed were unsuitable investments. The […]