Soreide Law Group is investigating possible investor claims against securities broker Timothy Joseph Scanlon [CRD#: 1968597, Scottsdale, Arizona]. Specifically, FINRA BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Arque Capital Ltd. and Merrill Lynch. Evidently, one or more clients allege sales practice violations in these disputes, including unsuitable […]

Morgan Stanley Clients Take Aim At Broker Jeffrey Cadan Regarding Suitability, Excessive Trading New investor disputes have emerged on the Financial Industry Regulatory Authority (FINRA) BrokerCheck report for securities broker Jeffrey Neil Cadan (CRD#: 2726285, New York, New York). It appears that three clients filed disputes in 2020, and a number of additional disputes have […]

Alexander Capital Investors Indicate Broker Robert Stefanelli Excessively Traded, Churned Accounts Soreide Law Group is investigating potential investor claims of sales practice violations by securities broker Robert Stefanelli [CRD#: 2566917, New York, New York]. Notably, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck shows that four investors took aim at the securities broker, who associated with Alexander […]

Ameriprise's Bill Utanksi Allegedly Makes Unsuitable Dendreon Corp. Stock Sales Soreide Law Group is looking into potential investor disputes against securities broker William (Bill) David Utanski [CRD#: 2576809, Fort Lauderdale, Florida]. Apparently, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck shows that at least 5 clients took issue with the securities broker, who worked for Ameriprise Financial […]

The Florida-based, Soreide Law Group, obtained the following information from FINRA’s website under, “Disciplinary and Other FINRA Actions, September 2016.” ELLIOT HARRIS (CRD# 2496586), Delray Beach, Florida) was barred by FINRA for allegedly failing to provide FINRA with requested documents and information during the course of FINRA's investigation into allegations that he recommended unsuitable trades […]