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March 12, 2024
Steven Lovell’s Key Investment Services Clients Allege Misrepresentation

Soreide Law Group is investigating possible investor claims on behalf of those who incurred losses through securities broker Steven Christopher Lovell (also known as Steven Lovell) [CRD: 5975704, Dublin, Ohio], Evidently, Steven Lovell worked for Morgan Stanley from September 2, 2022, to the present, and previously for Key Investment Services LLC from June 14, 2012, […]

March 11, 2024
Sean Kane Facing SEC Charges For Failing To Act In Clients' Interests

Some investors have potentially experienced damages because of securities broker Sean Michael Kane [CRD#: 5778281, York, Pennsylvania], according to disclosures through FINRA and SEC. Evidently, Kane worked with Cambridge Investment Research Inc. from March 25, 2021, to March 30, 2023, and with Waddell Reed from October 2, 2018, to March 3, 2021. Read on to […]

March 11, 2024
EDWARD H PRINCE & MOLONEY SECURITIES Lawsuit

Soreide Law Group has filed a FINRA arbitration on behalf of their clients (Claimants) against: MOLONEY SECURITIES CO., INC. and their registered representative, EDWARD H PRINCE. (Respondents) The Claimants, a married couple, reside in Kansas.  They have been clients of EDWARD H PRINCE since 2012. The lawsuit alleges that the Respondents knew the Claimant’s had […]

March 11, 2024
Scott Royal Facing Northwestern Mutual Client Dispute

Soreide Law Group is reviewing potential investor claims on behalf of individuals who incurred losses from securities broker Scott Allen Royal [CRD: 1801461, Omaha, Nebraska]. Evidently, Scott Royal has worked for Northwestern Mutual Investment Services LLC since June 2, 1988. Read on to learn more about Scott Royal's disclosures. Northwestern Mutual Investment Services LLC Investor […]

March 11, 2024
Robert Golding Expelled By FINRA

Investors might have sustained losses due to securities broker Robert L. Golding (also known as Rob Golding) [CRD: 5324763, Alpena, Michigan], according to disclosures on the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Particularly, Golding worked for Pruco Securities LLC from February 8, 2018, to September 12, 2022. Here’s more. FINRA Sanctioned Golding For Refusal To […]

March 10, 2024
Robert Rumley Facing Complaints From Morgan Stanley Clients

Soreide Law Group is looking into possible investor claims on behalf of those who incurred losses through securities broker Robert James Rumley III [CRD: 4474706, Atlanta, Georgia]. Evidently, Rumley worked for Morgan Stanley from May 26, 2011, to October 8, 2021. Continue reading to learn more about Rumley's disclosures. Morgan Stanley Investor Accused Rumley Of […]

March 9, 2024
Robert Marquez Barred Following FINRA Probe

Soreide Law Group is looking into potential claims on behalf of individuals who invested through Robert Emmett Marquez, also known as Bob Marquez [CRD: 2266269, Smithtown, New York], given FINRA’s recent sanctions against the broker. Marquez was previously registered with Investment Network Inc. from January 4, 2017, to November 6, 2023. Here’s more about FINRA’s […]

March 9, 2024
Robert Silvestri Barred By FINRA, Involved In Investor Disputes

Some investors have potentially experienced damages because of securities broker Robert Allen Silvestri (also known as Rob Silvestri) [CRD: 2037669, Dallas, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Silvestri worked for Aegis Capital Corp. in 2023, in Dallas, Texas. He also worked for Level Four Financial LLC from 2018 to […]

March 8, 2024
Randall Raymond Facing SagePoint Investors’ Negligence Complaints

Soreide Law Group is reviewing potential investor claims on behalf of individuals who incurred losses from securities broker Randall Leigh Raymond (also known as Randy Raymond) [CRD: 1041994, Lincoln, Nebraska]. Particularly, Raymond worked for SagePoint Financial Inc. from July 8, 2011, to September 1, 2023. Keep reading to learn more about the disclosures involving Randall […]

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