Soreide Law Group is currently investigating potential claims on behalf of investors who may have sustained losses due to securities broker and financial advisor, Yuting Cheng (Emily Cheng and Yu-Ting Cheng) [CRD#: 5719286, Arcadia, California]. Cheng has maintained registrations with Wells Fargo Clearing Services LLC since December 13, 2022. Other recent associations include BancWest Investment […]

Soreide Law Group is currently conducting an investigation into potential claims on behalf of investors who may have incurred financial losses involving securities broker and financial advisor, Wesley Howard Triani (also known as Wes Triani) [CRD#: 1025539, Hauppauge, New York]. Triani worked for Equity Services Inc. [CRD#: 265] from February 2003 to August 2023. Notably, […]

Did you invest through securities broker Tim Vorpahl (also known as Timothy James Vorpahl) [CRD#: 1457312, Spokane, Washington]? Evidently, Vorpahl joined Vorpahl Wing Securities Inc. in 1999. FINRA sanctioned him for his failure to supervise. FINRA Sanctioned Vorpahl For Failure To Supervise And Inadequate Procedures Particularly, on March 11, 2022, FINRA issued Case: 2020065149802 sanctioning […]

Soreide Law Group is currently investigating potential claims on behalf of investors who have sustained financial losses involving securities broker and financial advisor, Tammie Lyn Farrell (also known as Tammie Lyn Brown, Tammie Lyn Burk, and Tammie Burk Farrell) [CRD#: 2475931, Franklin, North Carolina]. Tammie Farrell is registered both as a securities broker with Capital […]

Soreide Law Group is currently conducting an investigation into the activities of Ryan Scott Mallow (also known as Ryan Mallow) [CRD#: 2420445, Jacksonville, Florida], a previously registered broker and financial advisor. Mallow worked with Fidelity Brokerage Services LLC in Jacksonville, Florida, from June 28, 2010, to June 2, 2023. He was previously affiliated with Stratton […]

Soreide Law Group is currently investigating potential claims on behalf of investors who may have suffered losses due to the actions of securities broker Ronald Leonard Whittingham (also known as Ron Whittingham) [CRD#: 4175525, Chicago, Illinois]. Whittingham joined Cetera Advisors LLC on February 28, 2019. Prior to his current registration, he worked for LPL Financial […]

Soreide Law Group is currently investigating potential claims on behalf of investors who have suffered losses due to the actions of securities broker Roderick Len Whited (also known as Rod Whited) [CRD: 2663822, Gainesville, Florida]. Whited, previously registered as both a broker and investment adviser. He was affiliated with Intercarolina Financial Services Inc. from October […]

Soreide Law Group is currently conducting an investigation on behalf of investors who have sustained financial losses involving registered broker and financial advisor, Peter John Clarke [CRD#: 1400419, Palm Beach Gardens, Florida]. Clarke works for Rockefeller Financial LLC and Rockefeller Capital Management since November 12, 2021. His previous associations include Truist Advisory Services Inc., and […]

Soreide Law Group is conducting an investigation into potential claims on behalf of investors who may have incurred losses due to the actions of securities broker and financial advisor, Peter Dieter Nett (also known as P.D. Nett) [CRD: 4506990, The Woodlands, Texas]. Evidently, he has worked with Hilltop Securities Inc. since September 23, 2022. He […]