Broker Mark Hopkins Possibly Sold Bad Investments Soreide Law Group is investigating potential investor claims of sales practice violations by securities broker Mark Lewton Hopkins (CRD#: 2653473, Grand Blanc, Michigan). Notably, Michigan issued Hopkins a $2,500 fine for his concealment of facts when recommending securities to one or more investors. Not only that, but FINRA […]

Barred Broker Joseph Thurnherr Possibly Breached Fiduciary Duty Soreide Law Group is reviewing possible investor claims of sales practice violations by Joseph Thurnherr (CRD#: 5045624, Red Bank, New Jersey). Notably, FINRA barred Thurnherr for refusing to supply information while under investigation for client complaints. Not only that, but 7 of Thurnherr’s investor clients filed disputes […]

Barred Broker Mike Carter Involved In Investors' Misappropriation Disputes Soreide Law Group is reviewing possible investor claims against Michael “Mike” Barry Carter (CRD#: 3232017, McLean, Virginia). Evidently, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck indicates that four investors brought disputes about the financial advisor, who worked for Morgan Stanley from 2011 to 2019. Notably, these disputes […]

Morgan Stanley Customers Dispute Broker David Kraft's Sales Practices Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) discloses troubling updates regarding securities broker David Kraft (CRD#: 2356400, Palm Beach Gardens, Florida). Evidently, at least five investors filed disputes regarding the sales practices of the securities broker, who worked for Morgan Stanley between 2012 and 2019. […]

David H Austin (Also known as: David Harry Nelson Austin, David Austin, David Harry-Nelson Austin) CRD#: 6702519, a former broker from JPMorgan of Grand Rapids, Michigan, was barred by the Financial Industry Regulatory Authority, Inc. (FINRA), on June 11, 2020, from acting as a broker or otherwise associating with a broker/dealer firm. Without admitting or […]

Raymond James' Taek Chong Allegedly Fleeces Clients Investors have brought lawsuits regarding barred financial advisor Taek Chong [CRD#: 1551473, Mercer Island, Washington]. Supposedly, the financial advisor, who worked for Raymond James Financial Services from 2000 to 2018, discloses four investor disputes on Financial Industry Regulatory Authority (“FINRA”) BrokerCheck. Significantly, Raymond James clients suggest that they […]

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 […]