Wedbush Securities Broker Marc Winters Barred By FINRA For Not Responding To Regulator's Request Soreide Law Group has important information to share with you regarding securities broker Marc Winters (CRD#: 4053113, Los Angeles, California). Notably, Financial Industry Regulatory Authority (“FINRA”) barred Winters, who worked as a securities broker for Wedbush Securities from 2004 to 2020. […]

On May 10, 2021, CANDIDO JOSE VIYELLA (CANDIDO VIYELLA, CRD#: 1829255) formerly with Morgan Stanley of Miami from 2009 – 2020, was barred by FINRA from acting as a broker or otherwise associating with a broker-dealer firm. Viyella was previously registered both as a broker and as an investment advisor. According to FINRA, without admitting […]

WILLIAM HERMAN DIXON (WILLIAM H DIXON, BILL DIXON) CRD#: 68881, a former broker with Securities America of Urbana, OH, was accused of allegedly signing his dead client’s name on several documents, was barred by the Financial Industry Regulatory Authority (FINRA) on May 11, 2021, after he refused to cooperate with FINRA’s investigation into his termination. […]

Broker Anthony Cottone Is Barred By FINRA, Involved In Dispute About Private Placements The Financial Industry Regulatory Authority (“FINRA”) reports troubling information concerning securities broker Anthony Matthew Cottone (CRD#: 4394861, Boca Raton, Florida). It appears that Cottone worked for firms Landolt Securities (2016 to 2017) and First West Group (2014 to 2016). Notably, there are […]

Investor Files Dispute About Barred Broker David Volpe Soreide Law Group is evaluating possible investor claims against securities broker David John Volpe (CRD#: 2543478, Scottsdale, Arizona). Evidently, the securities broker last worked for First Financial Equity Corporation (2019). He also worked for LPL Financial LLC (2017 to 2018) and National Planning Corporation (2009 to 2017). […]

Money Concepts Broker Dustin Shafer Barred As Securities Broker, Involved In Investor Disputes Soreide Law Group is reviewing whether to bring investor claims against Money Concepts Capital Corp securities broker Dustin Paul Shafer (CRD#: 4198962, Springfield, Illinois). Notably, as of January 7, 2021, Shafer’s securities broker privileges have been taken away by State of Illinois […]

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 […]