Recently, certain United States based brokerage firms have been contacting investors located in England, Scotland, Wales, and Ireland, soliciting customers to open accounts at USA based brokerage firms. The Securities Lawyers at Soreide Law Group have recently been receiving a large number of inquires from overseas investors. The UK investors are now looking to initiate FINRA arbitrations against their advisors in the United States. These complaints are primarily related to: excessive trading, churning, unauthorized trades and excessive use of margin.
If you are a resident of the United Kingdom looking for recourse against your broker/dealer, please contact Soreide Law Group at: (888) 760-6552, or visit our website and complete our online form at: https://www.securitieslawyer.com.
Investors potentially experienced sales practice violations by securities broker Matthew R. Carbray [CRD: 4565811, Northampton, Massachusetts], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Carbray has worked for Kestra Investment Services LLC since July 21, 2006, and Kestra Advisory Services LLC since April 19, 2016. Continue reading to learn more about Carbray’s […]
Investors apparently complained about securities broker Juan Pablo Benavides [CRD: 4288007, Miami, Florida], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Benavides has worked for Merrill Lynch as a securities broker since November 22, 2000, and as a financial advisor since March 15, 2004. See below to find out more about […]
Investors potentially incurred losses because of securities broker Sandy Meyer Leff [CRD: 1796695, Atlanta, Georgia], according to information disclosed through Financial Industry Regulatory Authority (FINRA) BrokerCheck. Leff has worked for Carter Terry Company Inc. as a securities broker since October 6, 2016, and as a financial advisor since October 21, 2016. Keep reading to discover […]
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