Oppenheimer Investors File Disputes Alleging Sales Practice Violations By Securities Broker Jeffrey Warren Soreide Law Group provides you with the following update regarding securities broker Jeffrey Warren (CRD#: 2707969, Boca Raton, Florida). It appears that as of May 28, 2021, FINRA barred Warren from acting as a securities broker or associating with a FINRA-member firm. […]

Securities Broker Robert Barnard Is Barred By FINRA And Is Facing Disputes From Principal Securities Clients Soreide Law Group comes to you with important information regarding securities broker and financial advisor Robert Barnard (CRD#: 5504882, Las Cruces, New Mexico). Notably, the Financial Industry Regulatory Authority (FINRA) barred Barnard to settle allegations that he violated FINRA […]

Transamerica Investors File Disputes About Barred Securities Broker Narinder Singh Soreide Law Group has important information to share with you regarding securities broker Narinder Kaur Singh (CRD#: 3100308, Sacramento, California). Evidently, Singh worked for Transamerica (2016), ProEquities (2016 to 2017) and Farmers Financial Solutions (2018 to 2019). According to a regulatory action dated August 28, […]

Worden Capital Managment Clients File Disputes Concerning Broker Christ Baltas The Financial Industry Regulatory Authority (“FINRA”) reported that investors filed disputes about securities broker Christ Elias Baltas (CRD#: 2570499, Melville, New York). Namely, two investors filed disputes about Baltas’ sales practices. Those disputes seem to concern his actions while working for Worden Capital Management (Melville, […]

Cynthia Komarek Barred, Involved In Investor Disputes The Financial Industry Regulatory Authority (“FINRA”) has new important information to share regarding securities broker Cynthia Komarek (CRD#: 1188714, Barrington, Illinois). It appears that this securities broker, who worked for firms Wells Fargo Clearing Services (2008 to 2017) and Sagepoint Financial (2017 to 2020), is now barred indefinitely […]

FINRA Bars Christopher Orlando For Allegedly Making Unsuitable Trades In Worden Client Accounts The Financial Industry Regulatory Authority (FINRA) shows through BrokerCheck that it barred securities broker Christopher George Orlando (CRD#: 4136262, New York, New York). Evidently, Orlando worked for firms Worden Capital Management (2016 to 2019), St. Bernard Financial Services (2019 to 2020), and […]

FINRA Issues Sanction To Securities Broker Enoch Booth It appears that FINRA barred securities broker Enoch Stanley Booth (CRD#: 4370233, Columbia, South Carolina). Evidently, the financial industry watchdog decided on July 20, 2021 to bar Booth as securities broker. This is for his alleged failure to provide documents to FINRA throughout its investigation that focused […]

Broker Dustin Blount Barred By FINRA And Involved In An MML Investor's Dispute Soreide Law Group has important information to share with you regarding securities broker Dustin Michael Blount (CRD#: 5267680, Vicksburg, Mississippi). Specifically, it appears on BrokerCheck that in addition to him being discharged for alleged misconduct, the broker is the subject of criminal […]

FINRA Bars LPL Financial Securities Broker Rhett Bedwell After Investigating Client Disputes, Termination From LPL The Financial Industry Regulatory Authority (FINRA) barred securities broker Rhett Douglas Bedwell (CRD#: 5664392, Rogers, Arkansas). This is to resolve allegations of his misconduct during the regulator’s investigation into his possible misuse of a client’s funds and possible forgery when […]