Soreide Law Group is investigating potential investor claims involving sales practice violations by securities brokers and financial advisors related to Lightstone Value Plus REIT V. Lightstone Value Plus REIT V is a publicly registered, non-traded real estate investment trust that was marketed to retail investors, often as an income-oriented alternative investment. Recent disclosures regarding liquidity […]

Investors potentially experienced sales practice violations by securities broker Ivan Michael West [CRD: 4921015, San Clemente, California], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. West worked for WestPark Capital Inc. from November 1, 2017, to June 8, 2020, and has been registered with American Trust Investment Services Inc. since June […]

Investors apparently complained about securities broker Steven Bae Cho [CRD: 2610257, Red Bank, New Jersey], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Cho worked for Herbert J. Sims Co. Inc. beginning on February 1, 2019, and later became registered with Herbert J. Sims Capital Management Inc. on August 18, 2021, after previously […]

Investors might have sustained losses due to securities broker Joseph Philip Tartaglini Jr. [CRD: 4963465, Reno, Nevada], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Tartaglini has been registered with J.P. Morgan Securities LLC since August 18, 2017, where he has served as both a broker and an investment adviser. Investors […]

Investors potentially experienced sales practice violations by securities broker Brett Michael Frum [CRD: 2175253, Green Bay, Wisconsin], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Frum worked for AEI Securities Inc. from April 7, 2021, to August 17, 2021, and later became registered with KCD Financial Inc. beginning November 3, 2021, including registrations […]

Investors might have sustained losses due to securities broker Ronald Norman York Jr. [CRD: 4308987, Wall, New Jersey], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. York worked for Triad Advisors LLC from March 21, 2014, to April 30, 2019, and he has been registered with Arkadios Capital and Arkadios Wealth Advisors since […]

Investors potentially experienced sales practice violations by securities broker Leslie Lyn Little (also known as Leslie Lyn Gardner) [CRD: 2886719, Scottsdale, Arizona], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Leslie Little has worked for J.P. Morgan Securities LLC since October 1, 2012. Investors are encouraged to continue reviewing the details […]

Investors have reportedly disputed the sales practices of securities broker Timothy Patrick Sweeney [CRD: 2669172, Santa Barbara, California], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Timothy Sweeney has worked for Centaurus Financial Inc. beginning on September 9, 2015, and previously worked for Raymond James Financial Services Inc. during earlier periods of his […]

Investors potentially incurred losses because of securities broker Carey Allen James [CRD: 1420763, Arroyo Grande, California], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. James worked for Centaurus Financial Inc. beginning on August 19, 2004, as a securities broker and later as a financial advisor starting September 10, 2009. Investors are […]