PETER MALIS Sell You Unsuitable Investments? Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) shows that investors disputed the sales practices of Wells Fargo Clearing Services, LLC financial advisor Peter Malis (CRD#: 317892, Woodland Hills, California). Apparently, Malis, who has been registered through Wells Fargo Clearing Services, LLC since July 1, 2003, reports five client […]

INVESTOR ALERT: Lawsuit Filed About CHRISTOPHER JORGENSEN Christopher Jorgensen (CRD#: 1919475, Setauket, New York) is a prior Summit Brokerage Services Inc. general securities broker. Notably, the Financial Industry Regulatory Authority (“FINRA”) BrokerCheck shows that at least two customers brought investor disputes about Jorgensen since FINRA barred him. The customers’ disputes, summarized below, raise serious allegations […]

ROSEMARY TAVERNA Referenced In Commonwealth Financial Network Investor Dispute Soreide Law Group is reviewing potential claims of misconduct, including unsuitable alternative investment sales, against Commonwealth Financial Network securities broker Rosemary Taverna (CRD#: 1244454, Greenwich, Connecticut). Specifically, Taverna shows on her Financial Industry Regulatory Authority (“FINRA”) BrokerCheck Profile that an investor disputed her sales practices. Here […]

FINRA Sanctions Sigma Financial Broker GREGORY RUSNAK The Financial Industry Regulatory Authority issued a suspension and $5,000 fine to Sigma Financial Corporation securities representative Gregory Rusnak (CRD#: 1505212, St. Charles, Illinois) for unauthorized trading. Specifically, Rusnak submitted a Letter of Acceptance, Waiver and Consent (“AWC”) #2017055797701 on November 14, 2018 which FINRA accepted January 9, […]

Soreide Law Group, based in Pompano Beach, Florida, obtained the following information from FINRA’s website under “Disciplinary and Other FINRA Actions October, 2017,” which is available to the public, regarding Florida broker:  Paul Vincent Blum (CRD #735003, Jupiter, Florida) Blum was was barred by FINRA for allegedly refusing to appear for FINRA on-the-record testimony during […]