Latest Securities Lawyer News

David Neil Soiferman (also known as Dave Soiferman), a securities broker based in Orlando, Florida (CRD: 1990243), is the subject of client complaints involving alleged investment losses, according to Financial Industry Regulatory Authority (FINRA) BrokerCheck disclosures. He worked for Ameriprise Financial Services LLC from April 16, 2010, to June 25, 2026. He has been registered […]

Roderick Roxas Uy (CRD: 4945992), a securities broker based in Rancho Palos Verdes, California, is involved in a client lawsuit alleging investment losses, according to the Financial Industry Regulatory Authority's (FINRA) BrokerCheck records. Uy worked for LPL Financial LLC as a broker since January 24, 2011, and as a financial advisor since January 25, 2011. […]

Harvey Alan Brode [CRD: 31169], a former securities broker in Southfield, Michigan, was sanctioned by the Financial Industry Regulatory Authority (FINRA), according to BrokerCheck. Brode was registered with Park Avenue Securities LLC from July 31, 2026, until October 2026. He was also registered with Osaic Advisory Services LLC from November 8, 2024, to August 4, […]

Investors might have sustained losses due to securities broker Nicholas Mathew Gianascoli (also known as Nick Gianascoli) [CRD: 6805515, Naples, Florida], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Gianascoli worked for Merrill Lynch from December 23, 2019, through May 31, 2023, and has been registered with J.P. Morgan Securities LLC since June […]

Investors might have been negatively affected by securities broker Ethan Wrenn [CRD: 7889172, Chesterland, Ohio], according to BrokerCheck disclosures. Wrenn worked for Equitable Advisors LLC from April 2, 2024, to May 17, 2024, Key Investment Services LLC from July 12, 2024, to August 13, 2025, and Citizens Securities Inc. from July 31, 2025, to April […]

Investors might have sustained losses due to securities broker Peter Lee Waldron [CRD: 4230510, Irvine, California], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Peter Waldron worked for Wells Fargo Clearing Services LLC and Wells Fargo Advisors beginning March 29, 2022, and previously worked for UBS Financial Services Inc. from October 27, […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Michael Raymond Frager [CRD: 1230622, Winneconne, Wisconsin], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Frager worked for Willow Cove Investment Group Inc. since April 27, 2020, and for Balboa Wealth Partners Inc. since November […]

Investor Dispute, FINRA Sanctions Reported On Record Of Christopher Nelson The Financial Industry Regulatory Authority (FINRA) provides important information in regard to securities broker Christopher Joseph Nelson (CRD#: 6674139, Brandon, South Dakota). Evidently, Nelson worked as a securities broker or financial advisor for Wynston Hill Capital from 2018 to 2019. Here is a brief summary […]

Morgan Stanley Clients Voice Problems With Suitability Of Securities Broker Michael Ralby's Transactions The investment loss recovery team at Soreide Law Group provides updates from time to time on securities brokers who are involved in investor disputes. The firm comes to you with a new update regarding securities broker Michael Bruce Ralby (CRD#: 1301072, Boca […]