Soreide Law Group is looking into possible investor claims on behalf of those who incurred losses through securities broker John Jay Kersey [CRD: 1480524, Cincinnati, Ohio]. Notably, Kersey worked for Northwestern Mutual Investment Services LLC from June 8, 2001, to June 23, 2023. Here’s more on the FINRA sanctions against Kersey and investor disputes involving […]

Some investors have potentially experienced damages because of securities broker Forrest Addington Wester (also known as Forrest Wester) [CRD: 2559502, Midland, Texas], according to regulatory sanctions and investor disputes disclosed on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Wester was previously registered as a financial advisor and securities broker, with his last registration at Wells […]

Soreide Law Group is reviewing potential investor claims on behalf of individuals who incurred losses from the actions of Robert Charles Starnes [CRD#: 1429794, Wauwatosa, Wisconsin]. Evidently, Starnes was previously registered as both a financial advisor and securities broker with SA Stone Wealth Management Inc. from December 6, 2019, to May 16, 2023. To understand […]

Investors might have sustained losses due to Michael Archimede [CRD: 5701306, Waukesha, Wisconsin], according to disclosures of regulatory sanctions and an investment dispute on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Archimede worked for PFS Investments Inc. in Waukesha, Wisconsin, from 2010 to 2023. Continue reading to learn more about the specific allegations made against Archimede. […]

Soreide Law Group explains investor claims concerning Lickhai Quach [CRD: 2804704, Rockville, Maryland] reported on FINRA BrokerCheck. Evidently, Quach worked for Transamerica Financial Advisors Inc. from January 6, 2012, to March 10, 2023. Notably, FINRA barred the broker, and investors filed disputes alleging sales practice violations. Here’s more on those disclosures. FINRA Claims Failure To […]

FINRA and New Jersey Bureau of Securities have barred securities broker Vincent Pucciarelli [CRD: 2039846, Woodbridge, New Jersey]. Evidently, he worked for Investment Network Inc. from January 4, 2017, to August 9, 2023. Here's an overview of the regulatory actions involving Pucciarelli. New Jersey Bureau Of Securities Sanctions Pucciarelli Vincent Pucciarelli faced sanctions from New […]

FINRA BrokerCheck shows that Rod Ferruso [CRD: 1457661, Morgantown, West Virginia] is the subject of scrutiny due to various investor disputes and regulatory actions during his time with Royal Alliance Associates Inc. in Morgantown, WV (2018 - 2022) and previously with Signator Investors Inc. Summaries of these disclosures are provided below. FINRA Sanctions Against Rod […]

Soreide Law Group is looking into potential claims on behalf of investors who may have endured financial losses due to Christopher Booth Kennedy [CRD: 4498061, Woodland Hills, California]. Evidently, Kennedy worked for Western International Securities Inc. from December 2, 2019, to September 27, 2021. Investors can review the following disclosures about Kennedy’s conduct in the […]

Soreide Law Group is currently reviewing potential claims on behalf of investors who may have encountered financial setbacks due to the actions of Alan Zelig Appelbaum [CRD: 500336, Boca Raton, Florida]. Evidently, Appelbaum's employment with Aegis Capital Corp. spanned from July 8, 2015, to May 14, 2021. Investors with connections to Appelbaum are urged to […]