Latest Securities Lawyer News

James Simmons (CRD 2438224) says he is not a respondent in a pending arbitration that appears on his BrokerCheck report. A claimant filed it on September 15, 2026, and the disclosure names Alexander Capital as the firm. The allegations are unproven, and no arbitrator has ruled on them. His statement disputes the claimant's account.

Diana Leon's BrokerCheck report shows a $700,000 settlement of a structured note arbitration in September 2026. Leon's CRD number is 4857407. The disclosure names Woodbury Financial as the firm, as do the other disputes on her report. Each involves structured notes, and each settled in September 2026.

A customer arbitration over investments bought in 2014 appears on Randall Mason's BrokerCheck report, and it ended in an award. Mason (CRD 1758777) denied the customer's unsuitability allegations in a statement on BrokerCheck. A second customer raised similar allegations in an earlier claim, which settled. Both disputes name Parkland Securities as the firm.

Soreide Law Group has filed a FINRA arbitration on behalf of our clients (Claimants) against: GREAT POINT CAPITAL, LLC, (GREAT POINT) and their former registered representative, SUSAN JANE GITT (SUSAN J GITT, SUSAN JANE SCHULTZ) (Respondents). The Claimants are retired and live in Florida.  The lawsuit states that the Claimants were looking for conservative income-generating […]

Pending customer claims on BrokerCheck name Michael Graham (CRD 3263494) and list LPL Financial as the firm. Each claim is pending and unproven, and no arbitrator has ruled on any of them. The customers allege that Graham misrepresented guaranteed principal and returns on a secured loan related to a real estate deal.

Every settled customer dispute on Peter Maller's BrokerCheck report names Lincoln Financial as the firm. Maller holds CRD number 2322403. The newest dispute, filed on March 5, 2024, settled on August 15, 2024 for $12,500 against alleged damages of $50,000. The claimants alleged that the representative represented an oil and gas investment as safe.

FINRA findings dated October 9, 2026 state that Buddy Mason (CRD 1721391) refused to provide documents and information FINRA requested, according to his BrokerCheck report. Mason consented to the sanction and to the entry of findings without admitting or denying them. BrokerCheck lists the matter as a regulatory event, names LPL Financial as the firm and gives case number 2025088717701.

BrokerCheck lists Arete Wealth Management as the firm in a pending customer action naming Richard Brown (CRD 2541545). The customer filed it on March 24, 2026, and no court has ruled on it. The claim is a pending allegation, and Brown denies it in a statement on his report.

Curtis Edmark (CRD 1596961) is a registered representative with Centaurus Financial. According to BrokerCheck, a customer filed a claim against him on September 14, 2026 that remains pending.