Soreide Law Group is currently investigating potential claims on behalf of investors who may have sustained losses due to the actions of Lawrence William Catena (CRD: 2037155, Naples, Florida). Notably, Catena has been registered with Morgan Stanley in Naples, Florida, and Mantoloking, New Jersey, since December 4, 2020. Additionally, he was affiliated with Merrill Lynch, […]

Soreide Law Group is investigating potential claims on behalf of investors who may have incurred losses through dealings with securities broker Andrew Raskin (CRD: 4701782, Palm Beach Gardens, Florida). Evidently, Andrew Raskin worked as a financial advisor and broker with Merrill Lynch from August 2, 2016, to December 13, 2022. He works for LPL Financial, […]

Investors have come forward with complaints about Robert T. Li [CRD: 4068255, Naperville, Illinois]. Evidently, the securities broker, who worked for LPL Financial LLC, discloses client suitability disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. For more on these disclosures about Li, see below. Remember that the broker denies the accusations against him. LPL Financial […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Robert Spencer Gerstein [CRD: 840752, New York, New York]. Not only has FINRA sanctioned Gerstein for unsuitability, but investors disputed the sales practices of the securities broker. However, Gerstein denies the allegations. Read on to learn more about the allegations against Gerstein. Gerstein […]

Soreide Law Group is investigating possible investor claims against securities broker Nisreen Nina Kallabat Byrne (also known as Nina Byrne) [CRD: 2223199, Bloomfield Hills, Michigan]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for J.P. Morgan Securities LLC. Evidently, investors allege sales practice […]

Soreide Law Group is actively delving into possible investor claims linked to securities firms and investment advisories that might have inappropriately recommended Western Asset Macro Opportunities I (LAOIX) to their clients. Sponsored by Western Asset Management Company, LLC., Western Asset Macro Opportunities I (LAOIX) poorly performed in 2022. Notably, the federal reserve hiked the interest […]

Non-Compliance With Suitability Obligations In November 2022, FINRA sanctioned Western International Securities in Case: 2020067094001. The firm agreed to pay a fine of $400,000, among other things to resolve allegations that it neglected its duties in ensuring that its recommendations regarding Non-Traded Real Estate Investment Trusts (REITs) complied with its suitability obligations. Inadequate Supervisory Procedures […]

Soreide Law Group is investigating possible investor claims against securities broker Nabil Bouab (also known as Bilo Bouab) [CRD: 4340284, Holbrook, New York]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for American Portfolios Financial Services Inc. Notably, investors allege sales practice violations […]

Soreide Law Group is investigating possible investor claims against securities broker Luke Michael Johnson [CRD: 3257008, Scottsdale, Arizona]. Notably, FINRA filed an enforcement or civil action against the securities broker, who worked for Coastal Equities Inc., regarding suitability and falsification of information. Here is a brief summary of FINRA’s allegations against Johnson. FINRA Charges Johnson […]