Soreide Law Group is investigating possible investor claims against securities broker Tracy Lynn Morton (CRD: 4880691, Tulsa, Oklahoma). Evidently, FINRA sanctioned the securities broker, who worked for Allstate Financial Services LLC. Allegedly, Morton failed to cooperate with FINRA’s investigation. Here is a brief summary of FINRA’s allegations against Morton. FINRA Bars Morton For Failure To […]

Soreide Law Group is investigating possible investor claims against securities broker Bradley Morgan Holts (also known as Brad Holts) (CRD: 5819398, Denver, Colorado). Particularly, SEC filed a Complaint against the securities broker, who worked for World Capital Brokerage Inc. Allegedly, Holts misappropriated funds. Here is a brief summary of SEC’s allegations against Holts. SEC Charges […]

Soreide Law Group is investigating possible investor claims against securities broker Tyler Dean Delahunt (CRD: 4419594, Atlanta, Georgia). Evidently, FINRA sanctioned the securities broker, who worked for Merrill Lynch Pierce Fenner Smith Incorporated. Allegedly, Delahunt failed to provide information and documents to FINRA when it conducted an investigation. Here is a brief summary of FINRA’s […]

Soreide Law Group is investigating possible investor claims against securities broker Thomas Jacob Ciolek (CRD: 2314551, Franklinville, New York). Evidently, FINRA sanctioned the securities broker, who worked for LPL Financial LLC. Allegedly, Ciolek failed to testify when FINRA investigated him. Here is a brief summary of FINRA’s allegations against Ciolek. Ciolek Barred By FINRA For […]

Soreide Law Group is investigating possible investor claims against securities broker Eddy C. Chou (CRD: 4685418, San Francisco, California). Evidently, FINRA sanctioned the securities broker, who worked for Ameriprise Financial Services LLC. Allegedly, Chou failed to respond to FINRA’s request for information. Here is a brief summary of FINRA’s allegations against Chou. FINRA Bars Chou […]

Soreide Law Group is investigating possible investor claims against securities broker William Forrest Winchester III (also known as Bill Woods) (CRD: 4404327, Chattanooga, Tennessee). Notably, FINRA sanctioned the securities broker, who worked for Raymond James Financial Services Inc. Allegedly, Winchester borrowed client funds and engaged in an undisclosed outside business activity. Here is a brief […]

Soreide Law Group is investigating possible investor claims against securities broker Allen Hershberg (CRD: 1112312, Beverly Hills, California). Notably, FINRA sanctioned the securities broker, who worked for Morgan Stanley. Allegedly, Hershberg failed to provide information and documents to FINRA when it investigated potential FINRA rule violations governing outside business activities. Here is a brief summary […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Eric Stone (CRD: 5227654, Jacksonville, Florida). Not only has FINRA sanctioned Stone for failing to testify when FINRA investigated him for potential FINRA rule violations regarding client loans, but investors disputed his sales practices. However, Stone denies the allegations. Read on to learn […]

Soreide Law Group is investigating possible investor claims against securities broker Daniel Pita (CRD: 6759879, Southwest Ranches, Florida). Notably, FINRA sanctioned the securities broker, who worked for NYLife Securities LLC. Allegedly, Pita failed to provide information and documents to FINRA when it investigated him. Supposedly, FINRA tried to determine if he engaged in impermissible outside […]