RHETT DOUGLAS BEDWELL (RHETT BEDWELL) CRD#: 5664392, was barred by FINRA from acting as a broker or otherwise associating with a broker-dealer firm.  On March 2, 2021, without admitting or denying FINRA’s findings, RHETT BEDWELL consented to the sanction and to the entry of findings that he allegedly refused to produce information and documents requested […]

Oppenheimer Broker David Krumrey Allegedly Caused Investor Losses The investment loss recovery team at Soreide Law Group provides you with this Investor Alert in regard to securities broker David Wayne Krumrey (CRD#: 4121845, The Woodlands, Texas). The securities broker, who worked for Oppenheimer from 2009 to 2017, is targeted in at least 6 investor disputes. […]

Broker Alex Herrera Is Barred By FINRA, Involved In Investor Disputes The Financial Industry Regulatory Authority (“FINRA”) reports troubling information in regard to securities broker Alex Gerardo Herrera (CRD#: 3204779, Coral Gables, Florida). Notably, FINRA BrokerCheck confirms that at least three investors filed disputes alleging sales practice violations by the securities broker, who worked for […]

Primex's Wilfredo Felix Is Barred By FINRA, Found Liable In Investor Dispute Soreide Law Group is evaluating possible investor claims to be brought against former Primex securities broker Wilfredo Felix Jr. (CRD#: 2693672, New York, New York). Notably, his FINRA BrokerCheck report contains alarming disclosures. This includes FINRA’s decision to bar Felix for seemingly impeding […]

On November 17, 2020, Efrain Balderrama Trujillo (Efrain Trujillo, CRD #3106482, West Hills, California), an Acceptance, Waiver and Consent (AWC) was issued by FINRA in which Trujillo was barred from association with any FINRA member in any principal capacity and fined $20,000. Without admitting or denying FINRA’s findings, Efrain Trujillo consented to the sanctions and […]

TYLER DEAN DELAHUNT (TYLER DELAHUNT, CRD#: 4419594), formerly with Merrill Lynch of Atlanta, Georgia, was barred by FINRA on January 25, 2021, from acting as a broker or otherwise associating with a broker-dealer firm. Delahunt was previously registered both as a broker and as an investment advisor. Without admitting or denying FINRA’s findings, TYLER DELAHUNT […]

Soreide Law Group obtained the following information from FINRA’s website regarding the Wisconsin broker/financial advisor: MICHAEL FRANCIS SHILLIN (MIKE SHILLIN CRD#: 5927156)  On December 21, 2020, MICHAEL FRANCIS SHILLIN was barred by FINRA from acting as a broker or otherwise associating with a broker-dealer firm. He was previously registered both as a broker and as […]

Securities Broker Sam Aziz Allegedly Made Excessive, Unsuitable Trades In Wells Fargo Investor Accounts Investor Alert! FINRA BrokerCheck shows that investors brought lawsuits alleging sales practice violations by barred broker Sam Aziz (Sam Yehya, Sam Azizieh) (CRD#: 1721932, Dublin, Ohio). Evidently, Aziz worked for Wells Fargo (2012 to 2015), Coastal Equities (2015 to 2018) and […]

Barred Broker Thomas Marino Sanctioned Again By FINRA Investor Alert! FINRA barred securities broker Thomas John Marino (CRD#: 4438533, Lake Worth Beach, Florida). Not only that, but the securities broker, who worked for firms JW Cole Financial and RM Stark, is involved in at least three investor disputes. These disclosures contain allegations that Marino sold […]