Soreide Law Group is looking into possible investor claims against securities broker Jake Louis Fruge (CRD: 6187396, Houston, Texas). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for PFS Investments Inc. Evidently, investors allege sales practice violations in these disputes, including that Fruge […]

Soreide Law Group has learned of possible investor claims against securities broker Luis Manuel Espinoza (CRD: 4474528, Riverside, California). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for First Financial Equity Corporation. Evidently, investors allege sales practice violations in these disputes, including that […]

FINRA reports important information about securities broker Dana H. Davis (CRD: 1707708, Hauppauge, New York). Not only has FINRA sanctioned Davis for making unsuitable recommendations and inappropriately used margin, but investors disputed the sales practices of the securities broker. However, Davis denies the allegations. Read on to learn more about the allegations against Davis. FINRA […]

Investors have voiced complaints about securities broker Robert D'Agosta (CRD: 1903105, Center Valley, Pennsylvania). Notably, the securities broker, who worked for Berthel Fisher Company Financial Services Inc., disclosed client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Namely, Berthel Fisher Company Financial Services Inc. clients allege that D'Agosta committed sales practice violations, including providing unsuitable […]

Investors complained about securities broker David Fleming Crossan (CRD: 2537752, Manchester, New Jersey). Notably, the securities broker, who worked for Wells Fargo Clearing Services LLC, disclosed client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Namely, Wells Fargo Clearing Services LLC clients allege that Crossan breached a fiduciary duty and gave unsuitable advice, among other […]

Investors have come forward with complaints about securities broker Cynthia Mary Couyoumjian (also known as Cynthia Mary Koczkodan) (CRD: 1456630, Tustin, California). Notably, the securities broker, who worked for Independent Financial Group LLC, disclosed client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Namely, Independent Financial Group LLC clients allege that Couyoumjian gave unsuitable advice. […]

Investors complained about securities broker Leo Li-Yuan Chien (CRD: 4169619, San Gabriel, California). Notably, the securities broker, who worked for Cetera Investment Services LLC, disclosed client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Namely, Cetera Investment Services LLC clients allege that Chien gave unsuitable advice. For more on these disclosures about Chien, see below. […]

Investors have voiced complaints about securities broker Kerry Thomas Cassell (CRD: 2069521, Charlotte, North Carolina). Notably, the securities broker, who worked for Merrill Lynch Pierce Fenner Smith Incorporated, disclosed client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Namely, Merrill Lynch Pierce Fenner Smith Incorporated clients allege that Cassell made misrepresentations. For more on these […]

FINRA reports important information about securities broker Jesus Manuel Bravo (CRD: 2838164, Plainview, New York). Not only has FINRA sanctioned Bravo for making unsuitable recommendations, but investors disputed the sales practices of the securities broker. However, Bravo denies the allegations. Read on to learn more about the allegations against Bravo. FINRA Sanctions Bravo For Unsuitable […]