FINRA BrokerCheck shows that PFS Investments Inc. clients disputed the sales practices of Jeremiah Roman [CRD: 6321876, Coral Springs, Florida]. Evidently, Roman worked for PFS Investments Inc. from June 27, 2014, to October 27, 2021. Below, investors can find more information about the disclosures concerning Jeremiah Roman's conduct. PFS Investments Inc. Client Alleged Breach Of […]

Securities broker Lilia Nia [CRD: 6018019, Fairfield, New Jersey], who worked for Purshe Kaplan Sterling Investments from 2013 to 2021, discloses regulatory sanctions and investor disputes on FINRA BrokerCheck. Read on to learn more about these disclosures. Suspension Imposed By New Jersey Bureau Of Securities On January 15, 2023, the New Jersey Bureau of Securities […]

FINRA BrokerCheck shows that investors have potentially suffered losses due to Eric Brian Kleiner [CRD#: 4135180, New York, NY]. Since September 9, 2016, Kleiner has been affiliated with Morgan Stanley. However, his professional history also includes positions at Wells Fargo Advisors LLC and Wachovia Securities LLC. This article highlights some of the investor disputes disclosed […]

Investors have filed disputes regarding securities broker and financial advisor, Shane DeSherlia (CRD#: 6800960, Jerseyville, Illinois]. DeSherlia works with Moloney Securities Co. Inc., located in Jerseyville, Illinois, since May 24, 2017, and with Moloney Securities Asset Management LLC at the same location since November 7, 2019. Recently, multiple investors raised concerns regarding DeSherlia's practices, specifically […]

FINRA BrokerCheck reports that investors alleged losses because of Stewart Taylor Paxton Ginn Jr. (also known as Stewart Ginn) (CRD#: 4503197, Santa Maria, California). Notably, Ginn works with Independent Financial Group LLC as of September 3, 2015, and worked with Navian Capital Securities LLC in Cincinnati, Ohio from February 18, 2021, to March 10, 2023. […]

Soreide Law Group is actively investigating potential claims on behalf of investors who may have sustained financial losses due to the actions of Seth Barnes Stewart, a previously registered broker and investment adviser [CRD: 5467292, Jefferson, Indiana]. Specifically, Stewart was affiliated with Center Street Securities Inc. from February 17, 2012, to November 18, 2020, and […]

Soreide Law Group is conducting an investigation into the actions of Scott J. Roslonowski (CRD: 4795893, Indian Harbour Beach, Florida), specifically focusing on potential claims on behalf of investors who may have suffered losses. Roslonowski works for Ameriprise Financial Services, LLC as of October 5, 2009, and operates out of the firm's Indian Harbour Beach, […]

Soreide Law Group is presently investigating potential claims on behalf of investors who may have sustained financial losses due to the actions of securities broker Anthony Michael Gallea (also known as Anthony Gallea) (CRD: 713980, Hendersonville, North Carolina). Gallea has been registered with Morgan Stanley since June 1, 2009, as a securities broker and financial […]

Soreide Law Group is investigating possible investor claims against securities broker Roberto Leslie (also known as Robert Leslie) [CRD: 2755940, Brooklyn, New York]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Infinex Investments Inc. Evidently, investors allege sales practice violations in these […]