Latest Securities Lawyer News

What investors should know about leveraged tax-loss harvesting, short positions, fees, and suitability. Tax-aware long-short investing can be presented as a sophisticated way to generate capital losses and reduce current taxes. But it is not merely a tax-planning overlay. It is an active, leveraged investment strategy that can produce substantial economic losses, high carrying costs, […]

Investors may have suffered financial harm by securities broker David Andrew Kangas [CRD: 6591398, Richmond, Virginia], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Kangas has worked for WealthForge Securities LLC since November 1, 2019. Keep reading to find out more about Kangas’s disclosures. WealthForge Investor Accused Kangas Of Breach Of […]

Financial Industry Regulatory Authority initiated a complaint against securities broker Keith Charles Moore [CRD: 5191450, Irvine, California], based on public information on BrokerCheck. Moore worked for Sutter Securities Clearing LLC from August 24, 2017, to February 16, 2024, and Sutter Securities Incorporated from April 17, 2019, to February 16, 2024. Continue reading to learn more […]

JOHN REED MICKELSON (JOHN R MICKELSON) has been registered as a broker with WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC and as an investment advisor with WEALTH ENHANCEMENT ADVISORY SERVICES, LLC both of Logan, Utah, since 1/5/2026. Mickelson was previously registered as an investment advisor with STRATEGIC ADVOCATES, LLC of Logan, Utah from 09/19/2022 - 01/02/2026. According […]

Investors potentially experienced sales practice violations by securities broker Walter Roland Valenzuela [CRD: 2280224, Encinitas, California], according to information disclosed through Financial Industry Regulatory Authority BrokerCheck. Valenzuela has worked for Kestra Investment Services LLC and Kestra Private Wealth Services LLC since April 29, 2020, and previously worked for Hilltop Securities Inc. from December 10, 2008, […]

Investors might have sustained losses due to securities broker Matthew Alfenso Gimmelli (also known as Matt Gimmelli) [CRD: 2740441, Scottsdale, Arizona], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Gimmelli has worked for Morgan Stanley since January 6, 2016. Investors are encouraged to continue reading to find out more about Gimmelli’s […]

Investors potentially experienced sales practice violations by securities broker Rajesh Markan [CRD: 4553309, Dallas, Texas], and United States Securities and Exchange Commission barred him, based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Markan worked for Merrill Lynch from May 8, 2009, through November 4, 2022, and Hilltop Securities Inc. from October 5, […]

Investors potentially experienced sales practice violations by securities broker Theodore William Byrer (also known as Ted Byrer) [CRD: 2980696, Westfield, Indiana], and FINRA sanctioned him, according to information disclosed through FINRA BrokerCheck. Byrer worked for Morgan Stanley from November 11, 2013, to April 20, 2023, and International Assets Advisory LLC, from May 9, 2023, to […]

Securities and Exchange Commission (SEC) took action against securities broker Clarice Crystal Saw (also known as Clarice Chin Saw) [CRD: 2633118, Wilmington, Delaware], based on public information through FINRA. BrokerCheck identifies Wilmington, Delaware, as the location of Coastal Equities Inc., where Saw worked from November 21, 2022, to August 1, 2023; she also worked for […]