Aegis Investment Corp Clients File Disputes About Securities Broker Cory Bataan The Financial Industry Regulatory Authority (“FINRA”) reports important information regarding securities broker Cory David Bataan (CRD#: 2755223, Melville, New York). Notably, the securities broker, who worked for Aegis Capital Corp from 2012 to 2019, is involved in investor disputes involving clients of that firm. […]

Broker David Turetzky Is Involved In Morgan Stanley, Ameriprise Investor Disputes The Financial Industry Regulatory Authority (FINRA) reports that 5 investors filed disputes about securities broker David Charles Turetzky (CRD#: 2954337, Saddle Brook, New Jersey). Namely, these disputes contain allegations of sales practice violations that caused damages to investors. Here’s more. Ameriprise Financial Services Client […]

Securities Broker Leif Olson Involved In Morgan Stanley Investor Dispute The securities attorneys at Soreide Law Group have learned of some recent investor arbitrations or disputes involving securities broker Leif David Olson (CRD#: 2277495, Sarasota, Florida). Namely, Olson worked for Morgan Stanley from 2010 to 2020 and worked for Wells Fargo since 2020 – both […]

Client Of Dawson James Alleges Unsuitable Investments The Financial Industry Regulatory Authority (“FINRA”) BrokerCheck shows that a new investor disputed the sales practices of securities broker Marc Scott Steinberg (CRD#: 2549670, Boca Raton, Florida). Evidently, six total investors brought disputes, and allegations include unsuitable recommendations or unsuitable trading. Let’s take a closer look at these […]

Securities Broker Peter Girgis Under FINRA Investigation For Possible Churning, Unsuitable Trading The Financial Industry Regulatory Authority (“FINRA”) BrokerCheck report for securities broker Peter Girgis (CRD#: 4520444, New York, New York) shows that FINRA is investigating him for unsuitable trading and churning. Moreover, six investors disputed Girgis’s sales practices. These disclosures are summarized below. FINRA’s […]

Worden Capital Investors File Disputes About Securities Broker John LoPinto It appears that investors have come forward in dispute of securities broker John Michael LoPinto (CRD#: 4563735, New York, New York). In total, Financial Industry Regulatory Authority (“FINRA”) reveals that four investors took aim at LoPinto alleging sales practices violations. SEC also sanctioned him. Here’s […]

Barred Securities Broker Mark Cohen Involved In Investor Disputes Soreide Law Group is investigating potential investor disputes to be brought against securities broker Mark Cohen (CRD#: 4534879, New York, New York). Mainly, five or more investors disputed Cohen’s sales practices to date. In addition, FINRA barred him as a securities broker effective September 2018. Here’s […]

Securities Broker Sam Aziz Allegedly Made Excessive, Unsuitable Trades In Wells Fargo Investor Accounts Investor Alert! FINRA BrokerCheck shows that investors brought lawsuits alleging sales practice violations by barred broker Sam Aziz (Sam Yehya, Sam Azizieh) (CRD#: 1721932, Dublin, Ohio). Evidently, Aziz worked for Wells Fargo (2012 to 2015), Coastal Equities (2015 to 2018) and […]

FINRA Contends That Broker Steven Luftschein Made Excessive Trades Causing Investor Losses Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) brought a regulatory action against Steven R. Luftschein (CRD#: 2690117, Huntington, New York) – also known by the name Steven Lerner. Specifically, in May 2020, the watchdog accused the securities broker of both violating fraud […]