Broker Jim Schwartz Allegedly Made Unauthorized, Unsuitable Transactions Causing Losses To Clients Soreide Law Group is reviewing potential investor claims against Joseph Gunnar broker James “Jim” Bradley Schwartz (CRD#: 3043085, New York, New York). Apparently, FINRA BrokerCheck reports that the securities broker, who worked for Joseph Gunnar (2016-2017), First Standard Financial Company (2016) and Aegis […]

Kovack Broker Andrew Corbman Allegedly Breached A Fiduciary Duty Investor Alert! Financial Industry Regulatory Authority (“FINRA”) BrokerCheck signals troubling information in regard to securities broker Andrew Corbman [CRD#: 2513558, Lansdowne, Virginia]. Apparently, at least 19 clients took issue with the securities broker, who worked for Kovack Securities (2011-2015) and Newbridge Securities Corporation (2015-2016). Not only […]

Broker Jerry Raines Purportedly Misrepresents Woodbridge Investments To Clients Investors are filing disputes because of the actions of securities broker Jerry Raines [CRD#: 4578689, Kilgore, Texas]. Notably, the securities broker, who worked for Signal Securities and HD Vest Investment Services, reports 17 investor disputes on Financial Industry Regulatory Authority (“FINRA”) BrokerCheck. Apparently, Signal Securities clients […]

New Jersey Bureau Of Securities Revokes Ramon Herrera's Securities Agent, Investment Adviser Representative Registration Following FINRA Bar Soreide Law Group is investigating potential investor claims of bad business practices by securities broker Ramon Herrera [CRD#: 6021170, Jersey City, New Jersey]. Notably, New Jersey Bureau of Securities and Financial Industry Regulatory Authority (“FINRA”) imposed serious sanctions […]

HJ Sims Broker Larry Wolfe Apparently Commits Elder Exploitation Soreide Law Group is reviewing possible investor claims against securities broker Larry Charles Wolfe [CRD#: 502361, Boca Raton, Florida]. Notably, Financial Industry Regulatory Authority ("FINRA") BrokerCheck discloses that at least 16 clients disputed the sales practices of the securities broker, who worked for HJ Sims and […]

Barred Broker Greg Levine Allegedly Failed To Repay Multiple Clients Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports alarming information in regard to securities broker Gregory Alan Levine [CRD#: 2401300, Fort Lauderdale, Florida]. He worked for First Allied Securities Inc. between July 6, 2012 and July 10, 2017. Notably, at least 10 clients brought […]

Northwestern Mutual's John Chrysadakis Barred For Refusing To Cooperate With FINRA Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports alarming allegations of improprieties by Northwestern Mutual Investment Services securities broker John Chrysadakis [CRD#: 5680661, Norwalk, Connecticut]. Aparently, not only has FINRA barred Chrysadakis, but a client disputed his sales practices. Also, Northwestern Mutual ended […]

Broker James Knee Allegedly Misappropriated Funds Investor Alert! FINRA BrokerCheck discloses troubling information in regard to securities broker James “Jim” Edward Knee [CRD#: 1852920, Concord, New Hampshire]. Supposedly, at least 8 clients took issue with the securities broker, who worked for Ameriprise Financial Services between 2012 and 2015 and who also worked for Voya Financial […]

FINRA Bars Merrill Lynch's Jose 'Tomas' Giraldo Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports troubling information in regard to securities broker Jose "Tomas" Giraldo [CRD#: 5429476, Chula Vista, California]. Notably, FINRA barred the securities broker, who worked for Merrill Lynch from October 15, 2013 to April 6, 2018. Previously, Merrill Lynch disaffiliated with […]