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 […]

Soreide Law Group is investigating possible investor claims against Lisa Stevenson (also known as Lisa Gastaldo) (CRD: 6191058, New Albany, Ohio). Evidently, FINRA sanctioned the securities broker, who worked for The Huntington Investment Company. Allegedly, Stevenson failed to provide information and documents to FINRA when it investigated possible FINRA rule violations. Here is a brief […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Jonathan Dudley (also known as Jonathan H. Dudley) (CRD: 5413469, Atlanta, Georgia). Mainly, FINRA sanctioned Dudley for his failure to provide information. However, Dudley denies the allegations. Read on to learn more about the allegations against Dudley. Jonathan Dudley Sanctioned By FINRA For […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker John Terzis (also known as John Nicholas Terzis) (CRD: 1805020, Skokie, Illinois). Not only has FINRA sanctioned Terzis for a client loan, but investors disputed the sales practices of the securities broker. However, Terzis denies the allegations. Read on to learn more about […]