The Financial Industry Regulatory Authority (FINRA) reports allegations of sales practice violations by securities broker Steven Kiyoto Hirata [CRD #: 1188927, Fresno, CA]. Hirata worked for PFS Investments Inc. from 2010-2021 and PFS Investments Inc. from 1984-2009. Notably, FINRA barred the securities broker. Read on to learn more about the allegations against him. FINRA Sanctions […]

The Financial Industry Regulatory Authority (FINRA) barred securities broker John Scott Winslow [CRD #: 3071933, Gig Harbor, WA]. Winslow worked for Edward Jones from 2013-2021; Union Banc Investment Services LLC from 2011-2013; and Key Investment Services LLC from 2006-2011. Evidently, one or more investors also disputed the sales practices of the securities broker. However, Winslow […]

Soreide Law Group is investigating possible investor claims against securities broker William Sideny Friedman AKA Bill Friedman and Willie Friedman [CRD#: 2475502, Boca Raton, Florida]. Evidently, FINRA sanctioned the securities broker, who worked for Newbridge Securities Corp., Woodstock Financial Group, and Pinnacle Investments. Notably, FINRA's accusations against the securities broker include failure to respond to […]

Soreide Law Group is investigating possible investor claims against securities broker Paul Ronald Koch [CRD#: 1777599, Wayzata, Minnesota]. Evidently, FINRA sanctioned the securities broker, who worked for UBS Financial Services. Notably, FINRA's accusations against the securities broker include failure to cooperate in an investigation. Also, investors allege sales practice violations by Koch. Here is a […]

FINRA reports important information regarding securities broker Roger Allan Duval [CRD#: 2503718, Bellevue, Washington]. Not only has FINRA sanctioned Duval, but one or more investors disputed the sales practices of the securities broker at Pruco Securities and MML Investors Services. However, Duval denies the allegations. Read on to learn more. FINRA Bars Duval For Conversion […]

Securities Broker Donald Sperring (AXA Advisors, Equitable Advisors) Barred, Involved In Client Disputes The Financial Industry Regulatory Authority (FINRA) contains important information on securities broker Donald George Sperring (CRD#: 2462982, Pittsburgh, Pennsylvania). Specifically, BrokerCheck shows that Sperring is involved in three investor disputes. Not only that, but he also received a FINRA bar (expulsion) in […]

Barred Broker Donna Hines Involved In Investor Dispute The Financial Industry Regulatory Authority (FINRA) provides important information in regard to securities broker Donna Jean Hines aka Donna Jean Atchison (CRD#: 4275524, Clarksburg, West Virginia). Evidently, Hines has worked as a securities broker for Cetera Advisors from 2013 to 2021, and previously worked as a securities […]

Investor Alleges Traderfield, Daniel Soliman Misrepresented Information About Trading Soreide Law Group is examining investor disputes concerning securities broker Daniel M. Soliman (CRD#: 6053300, New York, New York), as disclosed on FINRA BrokerCheck. Notably, Soliman was a securities broker at Traderfield Securities (his employer from 2016 to 2018) during the time of the allegations against […]

FINRA, SEC Take Action Against Mike Conte (Fusion Analytics) FINRA BrokerCheck indicates that investors alleged improper sales practices involving securities broker Michael James Conte “Mike Conte” (CRD#: 2646071, St. James, NY) and that those violations resulted in damages. Notably, Conte was a securities broker at Fusion Analytics Securities LLC during the time of the allegations […]