Soreide Law Group is looking into possible investor claims against securities broker Fernando Silva (CRD: 7326519, Tucson, Arizona). Particularly, FINRA sanctioned the securities broker, who worked for Morgan Stanley. Allegedly, Silva did not cooperate with a FINRA investigation. Here is a brief summary of FINRA’s allegations against Silva. Silva Sanctioned By FINRA For Failure To […]

Soreide Law Group has learned of possible investor claims against securities broker Robert Koestler (also known as Bob Koestler) (CRD: 7023515, Prairie Du Chien, Wisconsin). Particularly, FINRA sanctioned the securities broker, who worked for LPL Financial LLC. Allegedly, Koestler failed to testify when the regulator investigated him for potentially violating FINRA rules. Here is a […]

Soreide Law Group is looking into possible investor claims against securities broker Cathie Ann Joughin (also known as Cathie Joughin Barnard) (CRD: 1044884, Bakersfield, California). Particularly, FINRA sanctioned the securities broker, who worked for Ameriprise Financial Services LLC. Allegedly, Joughin did not provide documents and information to FINRA during its investigation into possible violations of […]

FINRA reports important information about securities broker Kevin Andrew Hobbs (CRD: 4267482, Lake Worth, Florida). Not only has FINRA sanctioned Hobbs for inaccurate information during a FINRA investigation, but investors disputed the sales practices of the securities broker. Here’s more about the FINRA regulatory action and investor disputes on Hobbs’ record. Hobbs Sanctioned By FINRA […]

Soreide Law Group is investigating possible investor claims against securities broker Samuel Heavrin (CRD: 6996924, Denver, Colorado). Particularly, FINRA sanctioned the securities broker, who worked for JP Morgan Securities LLC. Allegedly, Heavrin failed to respond to FINRA’s request for information. Here is a brief summary of FINRA’s allegations against Heavrin. FINRA Sanctions Heavrin For Failure […]

FINRA reports important information about securities broker Darryl Matthew Cohen (CRD: 2786613, Westlake Village, California). Evidently, investors disputed the sales practices of the securities broker, who worked for Morgan Stanley. Additionally, the securities broker discloses a regulatory enforcement action. However, Cohen denies the allegations of sales practice violations. Read on to learn more about the […]

Soreide Law Group is investigating possible investor claims against William Novack (also known as Bill Novack) (CRD: 1181334, Monticello, Indiana). Evidently, FINRA sanctioned the securities broker, who worked for CFD Investments Inc. and Cambridge Investment Research Inc. Allegedly, Novack failed to testify when FINRA investigated the securities broker for possible FINRA rule violations. Here is […]

Soreide Law Group is investigating possible investor claims against Timothy Cooney (also known as Tim Cooney) (CRD: 2946727, Warren, Rhode Island). Evidently, FINRA sanctioned the securities broker, who worked for Allstate Financial Services LLC. Allegedly, Cooney failed to provide information to FINRA concerning an undisclosed outside business activity investigation. Here is a brief summary of […]

Soreide Law Group is investigating possible investor claims against Nedjeen Baptiste (also known as Nedjeen Baptiste) (CRD: 6308317, Lantana, Florida). Notably, FINRA sanctioned the securities broker, who worked for J.P. Morgan Securities LLC. Allegedly, Baptiste failed to provide information and documents to FINRA when it investigated possible FINRA rule violations. Here is a brief summary […]