FINRA Bars LPL Financial Broker Scott Mason The Financial Industry Regulatory Authority (“FINRA”) indefinitely barred securities broker Scott Mason (CRD#: 3207386, Greenwood Village, Colorado). It seems that Mason, who worked for LPL Financial (2013 and 2017) and Voya Financial Advisors (2018), received two sets of sanctions by FINRA. Also, LPL clients complained about Mason. Notably, […]

Securities Broker Kinan Nimeh Involved In Investor Disputes About Suitability, Excessive Trading The Financial Industry Regulatory Authority (“FINRA”) reports troubling information in regard to securities broker Kinan Nimeh (CRD#: 4438900, New York, NY). Specifically, the securities broker, who worked for firms Rockwell Global Capital (2011 to 2015), McBarron Capital LLC (2015 to 2016), CV Brokerage […]

Broker Fred Brown Faces Regulatory Action, Disputes Over Borrowing Money From Clients Soreide Law Group is reviewing possible investor claims relating to securities broker Fred Ronald Brown (CRD#: 1175385, Montgomery, Alabama). Notably, the securities broker, who worked for Merrill Lynch from 2012 to 2017 in various capacities, faced a suspension and fine from FINRA for […]

Investors Indicate That Principal Securities' John Krohn Was Selling Away Soreide Law Group is reviewing possible investor claims of suitability, misrepresentation and other sales practice violations against securities broker John Michael Krohn (CRD#: 2722975, West Des Moines, Iowa). Notably, Krohn worked for Principal Securities from 1996 to 2017. His sales practices during that period have […]

CHRISTOPHER A REID (CRD#: 2341418) was fined $5,000.00 and suspended in all capacities for four months, beginning August 17, 2020, ending on December 16, 2020, by FINRA. Reid was formerly with Morgan Stanley of Marlton, New Jersey. According to the FINRA report dated August 20, 2020, without admitting or denying FINRA's findings, CHRISTOPHER A REID […]

FINRA Suspends Dawson James' Mack Miller For Unsuitable Trading Soreide Law Group provides you this investor alert in regard to securities broker Mack Leon Miller (CRD#: 2822317, New York, New York). Apparently, FINRA issued a suspension and a fine to Miller for unsuitable trading. Not only that, but three of Miller’s clients disputed his sales […]

Did Broker Rusty Tweed Cause You To Incur Losses? Soreide Law Group provides you this recent update in regard to securities broker Robert “Rusty” Tweed (CRD#: 2339324, San Marino, California). Namely, Securities and Exchange Commission (“SEC”) and Financial industry Regulatory Authority (“FINRA”) both barred the securities broker, who worked for Concorde Investment Services from 2011 […]

FINRA Issues Sanction To Brian Engstrom For Unsuitable UIT Trades The Financial Industry Regulatory Authority (“FINRA”) reports troubling information in regard to Oppenheimer securities broker Brian Engstrom (CRD#: 1838926, Pensacola, Florida). Not only has the financial industry watchdog sanctioned Engstrom via a three month suspension and $5,000 fine, but Oppenheimer disaffiliated with him following allegations […]

Alexander Capital Broker Jody Thompson Might Have Sold You Bad Alternative Investments The Financial Industry Regulatory Authority (“FINRA”) reports troubling allegations of sales practice violations by Alexander Capital securities broker Jody Ethan Thompson (CRD#: 2391190, New York, New York). In fact, Thompson discloses three investment disputes on his FINRA BrokerCheck Report which signals that he […]