The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Mitchell Scott Biernick (CRD: 2690172, Ronkonkoma, New York). Not only has FINRA sanctioned Biernick for failing to testify when FINRA investigated him for potential FINRA rule violations on suitability, but investors disputed his sales practices. However, Biernick denies the allegations. Read on to […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Francis Joseph Velten Jr. (also known as Frank Velten) (CRD: 2291911, New Port Richey, Florida). Not only has FINRA sanctioned Velten for failing to comply with a FINRA investigation into possible violations of FINRA rules, but investors disputed his sales practices. However, Velten […]

FINRA reports important information about securities broker Robert Earl Turner Jr. (CRD: 2113736, Waco, Texas). Not only has FINRA sanctioned Turner for engaging in private securities transactions, but investors disputed the sales practices of the securities broker. However, Turner denies the allegations. Read on to learn more about the allegations against Turner. FINRA Sanctions Turner […]

Soreide Law Group is looking into possible investor claims against securities broker Desiderio Eloy Torrez (CRD: 4759218, San Diego, California). Particularly, FINRA sanctioned the securities broker, who worked for PFS Investments Inc. Allegedly, Torrez failed to cooperate with FINRA during its investigation into possible violations of FINRA rules. Here is a brief summary of FINRA’s […]

Soreide Law Group has learned of possible investor claims against securities broker Cory Tinsley (CRD: 4434244, Rochester, New York). Particularly, FINRA sanctioned the securities broker, who worked for Farmers Financial Solutions LLC. Allegedly, Tinsley failed to respond to FINRA’s request for information. Not only that, but Farmers Financial Solutions terminated his registration. Here is a […]

Soreide Law Group is looking into possible investor claims against securities broker David Shane Simmons (CRD: 4655479, Jefferson, North Carolina). Particularly, FINRA sanctioned the securities broker, who worked for Lincoln Financial Advisors Corporation. Allegedly, Simmons failed to cooperate with FINRA when the regulator investigated him for potentially violating FINRA rules. Here is a brief summary […]

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 […]