Soreide Law Group is investigating possible investor claims against securities broker David Alan Snavely (also known as Dave Snavely) [CRD: 2030866, Des Moines, Washington]. Notably, FINRA sanctioned the securities broker, who worked for Cetera Advisors LLC. Allegedly, Snavely failed to cooperate with FINRA. Here is a brief summary of FINRA’s allegations against Snavely. FINRA Sanctions […]

Soreide Law Group is investigating possible investor claims against securities broker Brad Michael Jacobson [CRD: 4859099, Linwood, New Jersey]. Notably, FINRA punished the securities broker, who worked for Wells Fargo Clearing Services LLC. Allegedly, Jacobson did not comply with FINRA investigators. Here is a brief summary of FINRA’s allegations against Jacobson. FINRA Sanctions Jacobson For […]

According to a recent press release from the U.S. Attorney's Office, District of Massachusetts, Paul R McGonigle, 67, a Middleboro financial advisor, was sentenced to 54 months in prison and two months of supervised release and ordered to pay restitution of $652,987, for defrauding his elderly and otherwise vulnerable clients and misappropriating the victims’ retirement […]

Soreide Law Group is investigating possible investor claims against Jordan Palmer John (CRD: 6924720, Omaha, Nebraska). Notably, FINRA sanctioned the securities broker, who worked for TD Ameritrade Inc. Allegedly, John failed to provide information and documents to FINRA when it investigated possible violations of FINRA rules. Here is a brief summary of FINRA’s allegations against […]

Soreide Law Group is investigating possible investor claims against John M. Molskness (also known as John Mark Molskness) (CRD: 2366782, Carmel, Indiana). Notably, FINRA sanctioned the securities broker, who worked for Valic Financial Advisors Inc. Allegedly, Molskness failed to respond to FINRA’s request for information. Here is a brief summary of FINRA’s allegations against Molskness. […]

Soreide Law Group is investigating possible investor claims against Jason Lee Pintus (CRD: 5239408, Point Pleasant Beach, New Jersey). Notably, FINRA sanctioned the securities broker, who worked for Monmouth Capital Management LLC. Allegedly, Pintus failed to testify when FINRA conducted an investigation. Here is a brief summary of FINRA’s allegations against Pintus. Pintus Barred By […]

Soreide Law Group is investigating possible investor claims against Helen Grace Caldwell (also known as Helen Grace Corpuz) (CRD: 1957501, Chicago, Illinois). Notably, FINRA sanctioned the securities broker, who worked for Citigroup Global Markets Inc. Allegedly, Caldwell failed to testify when FINRA carried out an investigation. Here is a brief summary of FINRA’s allegations against […]

Soreide Law Group is investigating possible investor claims against Doug Marshall McKelvey (CRD: 4502849, Southlake, Texas). Evidently, DOJ and SEC filed legal actions against the securities broker, who worked for Morgan Stanley, alleging money laundering and misapproprpiation. Here is a brief summary of the allegations against McKelvey. McKelvey Pleaded Guilty For Violations Of Federal Laws […]

Soreide Law Group is investigating possible investor claims against David S. Wells (also known as David Sheldon Wells) (CRD: 6774493, Mount Prospect, Illinois). Evidently, DOJ and SEC filed against the securities broker, who worked for Fifth Third Securities Inc. Allegedly, Wells misappropriated funds, but the matters are ongoing and he denies the allegations. Here is […]