Investors might have sustained losses due to Michael Perron Shoemaker [CRD: 5836113, Atlanta, Georgia]. Evidently, Michael Shoemaker joined Bankers Life Securities Inc. on May 26, 2016. Below, readers can learn more about the disclosures surrounding Shoemaker's conduct and the implications for those affected. Bankers Life Securities Inc. Investor Accused Shoemaker Of Unsuitable Recommendations Particularly, on […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Michael Charles Grande [CRD: 1219255, Fort Lauderdale, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Michael Grande worked for Newbridge Securities Corporation from November 18, 2005, to May 31, 2022. Continue reading to learn […]

Investors might have sustained losses due to securities broker Matt Abeywardena Ward [CRD: 2075525, Santa Monica, California], according to disclosures on the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Ward joined A.G.P. / Alliance Global Partners on April 4, 2012. Continue reading to learn more about Matt Ward’s regulatory issues and the implications for investors. […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Luke Foster Lannister (also known as Lucas Foster Seward) [CRD: 6317373, Rockville, Maryland], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Luke Lannister worked for Grove Point Investments LLC from February 16, 2021, to November 28, […]

Investors might have sustained losses because of securities broker Louis Joseph Pellegriti [CRD: 5891855, New York, New York], according to disclosures on the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Louis Pellegriti worked for Spartan Capital Securities LLC from August 15, 2017, to January 8, 2019, and earlier with Worden Capital Management LLC from November […]

Investors may have faced losses because of securities broker Lacey Elizabeth Buteyn, also known as Lacey Elizabeth DePue [CRD: 4420482, San Diego, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Buteyn joined Kingswood Capital Partners LLC in San Diego, California on December 20, 2023, and Kingswood Wealth Advisors LLC in Plano, […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Kyung H. Song [CRD: 2760764, East Hills, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Song worked for MML Investors Services LLC from March 25, 2017, to November 27, 2023. Continue reading to […]

Investors possibly experienced losses because of securities broker Kevin Lawrence Kelly [CRD: 2293119, Asheville, North Carolina], according to disclosures on the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Kevin Kelly worked for LPL Financial LLC from October 20, 2010, to June 3, 2021. Here’s more about Kevin Kelly's past employment and allegations of unsuitable investment recommendations. […]

Investors may have experienced financial losses because of Kathryn Jo Hackney, also known as Kathryn Hackney and Kathryn Ohlin [CRD: 1548894, Orange, California], according to disclosures on the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Kathryn Hackney joined LPL Financial LLC in Orange, California on May 18, 2022, and previously worked for CUNA Brokerage Services Inc. […]