Investors have come forward with complaints about securities broker Gregory Patrick Bodkin (CRD: 3008389, New York, New York). Evidently, the securities broker, who worked for Worden Capital Management LLC, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Worden Capital Management LLC clients allege that Bodkin breached fiduciary duties, breached a contract, and […]

The Financial Industry Regulatory Authority (FINRA) reports important information about Damian Mark Baird (CRD: 3097243, Boston, Massachusetts). Not only has FINRA sanctioned Baird, but investors disputed the sales practices of the securities broker. However, Baird denies the allegations. Read on to learn more about the allegations against Baird. FINRA Sanctions Baird For Failure To Comply […]

Soreide Law Group is investigating possible investor claims against securities broker Erkan Eric Afacan (CRD: 2563297, Paramus, New Jersey). Evidently, Cambridge Investment Research Inc. permitted Afacan to resign amid allegations of his misconduct. Here is a brief summary of Cambridge Investment Research Inc.’s and investors’ allegations against Afacan. Cambridge Investment Research Inc. Terminates Afacan For […]

Investors complained about securities broker Edward Chong Yoon (CRD: 2408137, Pasadena, California). Notably, the securities broker, who worked for First Allied Securities Inc., disclosed client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Namely, First Allied Securities Inc. clients allege that Yoon made unsuitable recommendations. For more on these disclosures about Yoon, see below. First […]

Investors have come forward with complaints about securities broker John Woods (CRD: 1949233, Atlanta, Georgia). Notably, the securities broker, who worked for Oppenheimer Co. Inc., disclosed client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Namely, Oppenheimer Co. Inc. clients allege that Woods acted unethically and breached a fiduciary duty, among other things. For more […]

Soreide Law Group is looking into possible investor claims against securities broker Scott Curtis Wilson (CRD: 861144, New York, New York). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Morgan Stanley. Evidently, investors allege sales practice violations in these disputes, including that […]

Soreide Law Group has learned of possible investor claims against securities broker Christine Anne Warner (also known as Christine Anne Schneider) (CRD: 4001584, Mount Pleasant, Texas). Particularly, FINRA sanctioned the securities broker, who worked for Monticello Financial Group LLC. Allegedly, Warner failed to supervise registered representatives. Here is a brief summary of FINRA’s allegations against […]

Soreide Law Group is looking into possible investor claims against securities broker Juan Carlos Sosa (CRD: 4059846, Studio City, California. Evidently, Sagepoint Financial Inc. permitted Sosa to resign amid allegations of his misconduct. Here is a brief summary of Sagepoint Financial Inc.’s allegations against Sosa as well as a summary of Sagepoint investor disputes. Sagepoint […]

Investors complained about securities broker Edward Joseph Rudiger Jr. (CRD: 2118724, New York, New York). Notably, the securities broker, who worked for Reid Rudiger LLC, disclosed client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Namely, Reid Rudiger LLC clients allege that Rudiger made unsuitable recommendations, engaged in unauthorized trading, and committed other sales practice […]