The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Brian Radoo [CRD#: 2558458, North Woodmere, NY], who worked for Next Financial Group. Additionally, the securities broker discloses a regulatory enforcement action. However, Radoo denies the allegations of sales practice violations. Read on to learn more about the allegations against Radoo. Next Financial […]

Investors have come forward with complaints about securities broker Thais Piotrowski AKA Thais Drummond Moreira [CRD#: 4729077, Boca Raton, FL]. Evidently, the securities broker, who worked for Ameriprise Financial Services, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Ameriprise Financial Services clients allege that Piotrowski made unsuitable recommendations. For more on these […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Michael Pellegrino AKA Michael August Pellegrino [CRD#: 5900843, Oakbrook Terrace, IL]. However, Pellegrino denies the allegations. Read on to learn more about the allegations against Pellegrino. FINRA Sanctions Taylor Capital Management Inc. Securities Broker For Failure To Comply Evidently, on May 27, 2022, […]

Soreide Law Group is investigating possible investor claims against securities broker Kevin Nevin AKA Kevin Mark Nevin [CRD#: 2460059, Edina, MN]. Notably, FINRA sanctioned the securities broker, who worked for Dempsey Lord Smith LLC. Allegedly, Nevin failed to respond to FINRA’s request for information. Here is a brief summary FINRA’s allegations against Nevin. FINRA Sanctions […]

Soreide Law Group is investigating possible investor claims against securities broker David Menashe AKA David Gene Menashe [CRD#: 5727269, New York, NY]. Evidently, FINRA sanctioned the securities broker, who worked for Allied Millennial Partners LLC. Allegedly, Menashe failed to testify when FINRA investigated the stockbroker for possible violations of FINRA rules. Here is a brief […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Michael Martino AKA Michael Christopher Martino [CRD#: 2579146, New York, NY]. Evidently, investors disputed the sales practices of the securities broker, who worked for Four Points Capital Partners. Additionally, the securities broker discloses a regulatory enforcement action. However, Martino denies the allegations of […]

Soreide Law Group is investigating possible investor claims against securities broker Walter Light AKA Walter Wai Tak Light [CRD#: 1494331, Richardson, TX]. Notably, FINRA sanctioned the securities broker, who worked for Treasure Financial Corp. Allegedly, Light made unauthorized transactions. Here is a brief summary FINRA’s allegations against Light. FINRA Sanctions Treasure Financial Corp. Securities Broker […]

Investors have come forward with complaints about securities broker Daniel Lerner AKA Daniel Todd Lerner [CRD#: 1255769, White Plains, NY]. Evidently, the securities broker, who worked for David Lerner Associates, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, David Lerner Associates clients allege that Lerner made unsuitable transactions, made misrepresentations and omissions, […]

Investors have come forward with complaints about securities broker Edgar Kleydman AKA Edgar A. Kleydman [CRD#: 2727571, Brooklyn, NY]. Evidently, the securities broker, who worked for Equitable Advisors, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Equitable Advisors clients allege that Kleydman acted unethically, breached a fiduciary duty, made unsuitable transactions, breached […]