Investors complained about securities broker Michael Christopher Blumer (CRD: 4861312, Melville, New York). Notably, the securities broker, who worked for SW Financial, disclosed client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Namely, SW Financial clients allege that Blumer gave unsuitable advice, engaged in excessive trading, and committed other sales practice violations. For more on […]

Soreide Law Group is looking into possible investor claims against securities broker Archie Abel Blood Jr. (also known as Bud Blood) (CRD: 1861277, Holland, Michigan). Particularly, FINRA sanctioned the securities broker, who worked for Cambridge Investment Research Inc. Allegedly, Blood engaged in private securities transactions. Here is a brief summary of FINRA’s allegations against Blood. […]

Soreide Law Group is looking into possible investor claims against securities broker Christopher Robert Black (also known as Chris Black) (CRD: 2186558, Houston, Texas). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for UBS Financial Services Inc. Evidently, investors allege sales practice violations […]

Investors have voiced complaints about securities broker Kurt Russell Baldry (CRD: 1568930, Otsego, Minnesota). Notably, the securities broker, who worked for Ausdal Financial Partners Inc., disclosed client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Namely, Ausdal Financial Partners Inc. clients allege that Baldry made unsuitable recommendations. For more on these disclosures about Baldry, see […]

Investors complained about securities broker Chad Edward Allen (CRD: 2712784, New York, New York). 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 Allen made misrepresentations and unsuitable recommendations, among other sales practice violations. For more on […]

Investors have come forward with complaints about William Huthnance (also known as William Word Huthnance) (CRD: 4326519, Houston, Texas). Particularly, 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 Huthnance made unsuitable recommendations and made misrepresentations […]

Recently, the Financial Advisor Magazine has reported on the troubling charges against Surage Roshan Perera, who is the founder of Janues Capital Inc. and lives in Bellerose, Queens. Surage Perera was charged with fraud by the U.S. Attorney’s Office for the Eastern District of New York and the Federal Bureau of Investigation. This troubling news was […]

Investors have come forward with complaints about Scott Aabel (also known as Scott Erik Aabel) (CRD: 1493667, Osprey, Florida). Particularly, the securities broker, who worked for Spire Securities LLC, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Spire Securities LLC clients allege that Aabel made unsuitable recommendations. For more on these disclosures […]

Soreide Law Group is investigating possible investor claims against Pedro Escobar (also known as Pedro Jose Escobar) (CRD: 2785268, Miami, Florida). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for SunTrust Investment Services Inc. Notably, investors allege sales practice violations in these disputes, […]