Investors have come forward with complaints about securities broker David Kimbler (CRD: 1132791, Ferndale, Washington). Evidently, the securities broker, who worked for Securities America Inc., discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Securities America Inc. clients allege that Kimbler withdrew client funds without authorization and engaged in unauthorized trading. For more […]

Soreide Law Group is investigating possible investor claims against securities broker Jeffrey Kiesnoski (CRD: 2688017, Setauket, New York). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Concorde Investment Services LLC. Evidently, investors allege sales practice violations in these disputes, including that Kiesnoski […]

Soreide Law Group is investigating possible investor claims against securities broker Jeffrey Kantar (CRD: 2442053, Northfield, Ohio). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Northwestern Mutual Investment Services LLC. Evidently, investors allege sales practice violations in these disputes, including that Kantar […]

Soreide Law Group is investigating possible investor claims against securities broker Charles Paul Edward Jumet Jr. (CRD: 5958643, Memphis, Tennessee). Notably, FINRA sanctioned the securities broker, who worked for Chickasaw Securities LLC. Allegedly, Jumet engaged in an undisclosed outside business activity. Here is a brief summary of FINRA’s allegations against Jumet. Jumet Sanctioned By FINRA […]

Investors have come forward with complaints about securities broker Eric M. Jenson (CRD: 2873787, Greenwood Village, Colorado). Evidently, the securities broker, who worked for Transamerica Financial Advisors Inc. and WMA Securities Inc., discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, investors allege that Jenson committed sales practice violations. For more on these […]

Soreide Law Group is investigating possible investor claims against securities broker Miche D. Jean (CRD: 5918186, Rockville, Maryland). Notably, FINRA filed an enforcement or civil action against the securities broker, who worked for Morgan Stanley. Allegedly, Jean failed to testify when FINRA investigated the securities broker for potential FINRA rule violations on conversion. Here is […]

Investors have come forward with complaints about securities broker Gary Isler (CRD: 1514385, Lawrenceville, New Jersey). Evidently, the securities broker, who worked for David Lerner Associates Inc., discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, David Lerner Associates Inc. clients allege that Isler made unsuitable recommendations, made misrepresentations, made omissions, and breached […]

Soreide Law Group is investigating possible investor claims against securities broker Sean Gordon (CRD: 3057652, Bloomingdale, Illinois). Notably, FINRA sanctioned the securities broker, who worked for JP Morgan Securities LLC. Allegedly, Gordon engaged in an undisclosed outside business activity. Here is a brief summary of FINRA’s allegations against Gordon. FINRA Sanctions Gordon For Outside Business […]

Investors have come forward with complaints about securities broker David Richard Geake (CRD: 3088891, Northbrook, Illinois). Evidently, the securities broker, who worked for Ausdal Financial Partners Inc., discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Ausdal Financial Partners Inc. clients allege that Geake breached a fiduciary duty, breached a contract, and violated […]