Investors possibly experienced losses because of securities broker Yong Seok Chang [CRD: 4440739, Seattle, Washington], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Chang joined Independent Financial Group LLC on October 27, 2008. Keep reading to learn more about Chang’s disclosures. Independent Financial Group LLC Investor Accused Chang Of Unsuitable Recommendations Particularly, […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker William Vito Romeo (also known as Doughboy Romeo) [CRD: 1041846, East Meadow, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Romeo joined RNR Securities LLC on October 13, 1997, and R&R Financial Planners […]

Investors might have sustained losses due to securities broker William Dale Dobbs [CRD: 1064156, Clinton, Tennessee], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Dobbs joined Centaurus Financial Inc. on April 7, 2009, in the capacities of both a securities broker and a financial advisor. Below, you’ll find a summary of the […]

Investors potentially sustained damages through securities broker Thomas Michael Moran (also known as Tom Moran) [CRD: 709062, Naples, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Thomas Moran worked for Wells Fargo Advisors Financial Network LLC from November 15, 2018, to August 30, 2022, and for Wells Fargo Clearing Services LLC […]

Financial Industry Regulatory Authority (FINRA) charged securities broker Thomas James Baumann [CRD: 5254392, New York, New York] with violating FINRA rules on hindering investigations, according to disclosures on BrokerCheck. Not only that, but Spartan Capital Securities LLC investors complained about his sales practices. Evidently, Thomas Baumann worked for Spartan Capital Securities from January 22, 2013, […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Thomas Gerard Ley [CRD: 1127048, Toms River, New Jersey], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Thomas Ley joined Wells Fargo Clearing Services LLC and Wells Fargo Advisors on May 24, 2012. Below, you’ll […]

Investors possibly experienced losses because of securities broker Steven LaMar Nielsen [CRD: 4184826, Gilbert, Arizona], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Steven Nielsen joined Centaurus Financial Inc. as a broker and financial advisor at their Gilbert, Arizona location on August 7, 2017. Here’s an overview of Steven Nielsen’s disclosures. Centaurus […]

Investors might have sustained losses due to securities broker Stephen Russell Stanford (also known as Steve Stanford) [CRD: 1686790, San Francisco, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Stephen Stanford joined Portsmouth Financial Services on March 18, 2013. Additionally, he joined Portsmouth Financial Services Inc. in Fairhope, Alabama, on July 25, […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Saimir Astrit Prapaniku (also known as Sam Prapaniku) [CRD: 5499421, Encino, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Saimir Prapaniku worked for US Bancorp Investments Inc. from June 17, 2013, to April 22, […]