Investors might have sustained losses because of securities broker Stefan Ara Shimshidian [CRD: 3043669, White Plains, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Shimshidian joined Cabot Lodge Securities LLC on June 29, 2013. Continue reading to learn more about Shimshidian's disclosures. Cabot Lodge Securities LLC Investor Accused Shimshidian Of […]

Soreide Law Group is investigating potential investor claims against financial advisor Sean Michael Fleming [CRD: 6516544, Mesa, Arizona], given the disclosures on FINRA BrokerCheck. Evidently, Fleming established Fleming Financial Services on February 14, 2018. Keep reading to learn more about Fleming's disclosures. Fleming Financial Services Inc. Investor Accused Fleming Of Unsuitable Recommendations Particularly, a client […]

Investors might have sustained losses because of securities broker Scot Barringer [CRD: 1385168, San Clemente, California], according to disclosures on FINRA BrokerCheck. Evidently, Barringer joined American Trust Investment Services Inc. on July 22, 2020, and Chicago Capital Management Advisors LLC on July 23, 2020. Previously, he worked for Westpark Capital Inc. from 2016 to 2020. […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Ruben Javier Frezzotti [CRD: 4439983, Coral Gables, Florida], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Frezzotti's employment at Raymond James Associates Inc., spanning from February 13, 2013, to October 10, 2023, has been marked by […]

Investors might have sustained losses because of securities broker Michael Scott Barrows [CRD: 2933260, Irvine, California], according to disclosures on FINRA BrokerCheck. Evidently, Barrows joined M Stevens Securities LLC and M Stevens Wealth Advisors LLC, both located in Irvine, CA, on June 9, 2023, and April 4, 2018, respectively. He previously worked for Kingswood Capital […]

Investors might have sustained losses because of securities broker Matthew Kenneth Wilkes [CRD: 5409004, Knoxville, Tennessee], according to disclosures on FINRA BrokerCheck. Evidently, Wilkes worked for TrustFirst in Knoxville, TN, from April 4, 2019, to October 30, 2023, FSIC in Chicago, IL, from June 21, 2017, to September 12, 2018, and Raymond James Financial Services […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Mark Edward Rippeteau [CRD: 869993, Seattle, Washington], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Rippeteau worked for RBC Capital Markets LLC from March 2, 1998, to July 19, 2023. Keep reading to learn more […]

Investors might have sustained losses because of securities broker Lara Charltre [CRD: 5107119, Anchorage, Alaska], according to disclosures on FINRA BrokerCheck. Evidently, Lara Shogren worked for CUSO Financial Services LP from September 20, 2023, to the present, and previously with Key Investment Services LLC from October 14, 2015, to September 6, 2023. Continue reading to […]

Investors might have sustained losses because of securities broker John Stephen Pronovost [CRD: 1990612, Watertown, Connecticut], according to disclosures on FINRA BrokerCheck. Pronovost joined Osaic Institutions Inc. in Watertown, CT, both as an investment adviser and broker on February 26, 2021. Before this, he worked for Cambridge Investment Research Inc., and Cambridge Investment Research Advisors […]