The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Amanda Yvonne Berry (also known as Amanda Yvonne Coleman) (CRD:  5651609, Oklahoma City, OK). Evidently, investors disputed the sales practices of the securities broker, who worked for MML Investors Services LLC. Additionally, the securities broker discloses a regulatory enforcement action. However, Berry denies […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Rhett Douglas Bedwell (CRD:  5664392, Rogers, AR). Notably, investors disputed the sales practices of the securities broker, who worked for LPL Financial LLC. Additionally, the securities broker discloses a regulatory enforcement action. However, Bedwell denies the allegations of sales practice violations. Read on […]

Soreide Law Group is investigating possible investor claims against securities broker Jeffrey Daniel Basford (CRD:  5077566, Westport, CT). Evidently, FINRA sanctioned the securities broker, who worked for David Lerner Associates Inc. Allegedly, Basford failed to testify when FINRA investigated the securities broker for possibly violating FINRA rules. Here is a brief summary of FINRA’s allegations […]

Soreide Law Group is investigating possible investor claims against securities broker Timothy Williams [CRD: 6341465, Tucson, Arizona]. Notably, FINRA sanctioned the securities broker, who worked for Edward Jones. Allegedly, Williams failed to respond to FINRA’s request for information. Here is a brief summary of FINRA’s allegations against Williams. Williams Barred By FINRA For Failure To […]

Soreide Law Group is investigating possible investor claims against securities broker Jonathan Adam Stuffer (also known as Jon Stuffer) [CRD: 6015954, Staten Island, New York]. Notably, FINRA sanctioned the securities broker, who worked for J.P. Morgan Securities LLC. Allegedly, Stuffer failed to testify during an investigation into possible FINRA rule violations. Here is a brief […]

Soreide Law Group is investigating possible investor claims against securities broker Tyrone Smiles [CRD: 4370937, Newark, New Jersey]. Notably, FINRA sanctioned the securities broker, who worked for Prudential Investment Management Services LLC. Allegedly, Smiles engaged in an undisclosed outside business activity. Here is a brief summary of FINRA’s allegations against Smiles. FINRA Bars Prudential Investment […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker James Simpson [CRD: 424828, Toledo, Ohio]. Evidently, investors disputed the sales practices of the securities broker, who worked for Equitable Advisors LLC. Additionally, the securities broker disclosed a regulatory enforcement action. Read on to learn more about the allegations against Simpson. Equitable Advisors […]

Soreide Law Group is investigating possible investor claims against securities broker Doan Nguyen [CRD: 6554242, Vancouver, BC]. Notably, FINRA sanctioned the securities broker, who worked for Raymond James (USA) Ltd. Allegedly, Nguyen failed to provide information and documents to FINRA when it investigated possible violations of FINRA rules. Here is a brief summary of FINRA’s […]

Soreide Law Group is investigating possible investor claims against securities broker Edric Michael McSween [CRD: 2080810, Naples, Florida]. Notably, FINRA sanctioned the securities broker, who worked for Ameriprise Financial Services LLC. Allegedly, McSween failed to provide information and documents to FINRA when it investigated possible violations of FINRA rules. Here is a brief summary of […]