Soreide Law Group is investigating possible investor claims against securities broker Bobby Sullins (CRD: 4173425, Pell City, Alabama). Notably, FINRA sanctioned the securities broker, who worked for BBT Securities LLC. Allegedly, Sullins failed to respond to FINRA’s request for information. Here is a brief summary of FINRA’s allegations against Sullins. FINRA Sanctions Sullins For Failure […]

Soreide Law Group is investigating possible investor claims against securities broker Chris Stocks (CRD: 2600346, Scottsdale, Arizona). Evidently, Morgan Stanley terminated the securities broker for cause. Here is a brief summary of the allegations against Stocks. Morgan Stanley Disaffiliates With Stocks For Outside Business Activities Supposedly, on November 11, 2021, Morgan Stanley disaffiliated with Stocks. […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Jason Nicholas Slezak (CRD: 2423323, Antioch, Illinois). Evidently, investors disputed the sales practices of the securities broker, who worked for Landolt Securities Inc. Additionally, the securities broker discloses a regulatory enforcement action. However, Slezak denies the allegations of misconduct Read on to learn […]

Soreide Law Group is investigating possible investor claims against securities broker Matthew Shaughnessy (CRD: 2457058, Henderson, Nevada). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Ameriprise Financial Services LLC. Evidently, investors allege sales practice violations in these disputes, including that Shaughnessy engaged […]

Investors have come forward with complaints about securities broker John Rochester (CRD: 2128760, Santa Fe, New Mexico). Evidently, the securities broker, who worked for Morgan Stanley, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Morgan Stanley clients allege that Rochester breached a fiduciary duty, made misrepresentations, made unsuitable recommendations, failed to perform […]

Investors have come forward with complaints about securities broker Thomas Michael Rauchegger (CRD: 5156496, Maitland, Florida). Evidently, the securities broker, who worked for Kalos Capital Inc., discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Kalos Capital Inc. clients allege that Rauchegger made unsuitable recommendations. For more on these disclosures about Rauchegger, see […]

Investors have come forward with complaints about securities broker Jeffrey Adam Miller (CRD: 4251936, Greenwich, Connecticut). Evidently, the securities broker, who worked for UBS Financial Services Inc., discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, UBS Financial Services Inc. clients allege that Miller made unsuitable recommendations. For more on these disclosures about […]

Soreide Law Group is investigating possible investor claims against securities broker Roman Meyerhans (CRD: 4587943, Miami, Florida). Notably, FINRA sanctioned the securities broker, who worked for Raymond James Associates Inc. Allegedly, Meyerhans made unauthorized communications with clients regarding securities business. Here is a brief summary of FINRA’s allegations against Meyerhans. FINRA Sanctions Meyerhans For Unauthorized […]

Soreide Law Group is investigating possible investor claims against securities broker Nickolay V. Kukekov (CRD: 4981423, New York, New York). Notably, FINRA sanctioned the securities broker, who worked for Paulson Investment Company LLC. Allegedly, Kukekov engaged in an undisclosed outside business activity. Here is a brief summary of FINRA’s allegations against Kukekov. Kukekov Sanctioned By […]