Investors have come forward with complaints about securities broker Corey Jon Engelhard (CRD: 2788550, Plantation, Florida). Evidently, the securities broker, who worked for Morgan Stanley, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Morgan Stanley clients allege that Engelhard made unsuitable recommendations. For more on these disclosures about Engelhard, see below. Engelhard […]

Soreide Law Group is investigating possible investor claims against Brad Richard Small (CRD: 3173556, Reading, Pennsylvania). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for American Portfolios Financial Services Inc. Evidently, one or more investors alleged misconduct in these disputes, including that Small […]

Soreide Law Group is investigating possible investor claims against Gustavo Santos Miramontes (CRD: 2338966, Los Angeles, California) and his sale of Mullen Automotive Inc. (NASDAQ: MULN), among other securities. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Oppenheimer Co. Inc. Not only […]

Soreide Law Group is investigating possible investor claims against securities broker Vincent Maley Weir (CRD: 3118881, Houston, Texas). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Wells Fargo Clearing Services LLC. Supposedly, one or more individuals claim that Weir made unsuitable recommendations. […]

Investors have come forward with complaints about Timothy Allen Thelen (also known as Tim Thelen) (CRD: 1924966, Scottsdale, Arizona). Evidently, the securities broker, who worked for Aeon Capital Inc., discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Particularly, Aeon Capital Inc. clients allege that Thelen breached a contract, breached a fiduciary duty, was […]

Investors have come forward with complaints about Valentino Michael Scott (CRD: 1497615, West Hills, California). Evidently, the securities broker, who worked for Centaurus Financial Inc., discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Particularly, Centaurus Financial Inc. clients allege that Scott made misrepresentations and mismanaged investment accounts. For more on these disclosures about […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Avi Elliot Schottenstein (CRD: 5708665, New York, New York). Not only has Illinois moved for sanctions against Schottenstein, but one or more investors disputed the sales practices of the securities broker. However, Schottenstein denies the allegations. Read on to learn more about the […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Surage Kamal Roshan Perera (also known as Roshan Perera) (CRD: 4716321, Melville, New York). Evidently, investors disputed the sales practices of the securities broker, who worked for Aegis Capital Corporation. Additionally, the securities broker discloses a regulatory enforcement action. However, Perera denies the […]

Investors have come forward with complaints about Ray Gene Reese (CRD: 1694620, Farmington, Montana). Evidently, the securities broker, who worked for Money Concepts Capital Corp, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Particularly, Money Concepts Capital Corp clients allege that Reese made unsuitable recommendations, breached a fiduciary duty, and made misrepresentations. For […]