The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Joseph Audia (also known as Joseph Scott Audia) [CRD: 2909761, Hauppauge, NY]. Not only has FINRA sanctioned Audia for failure to supervise, but investors complained about the securities broker. However, Joseph Audia denies the allegations. Read on to learn more about the allegations […]

Soreide Law Group is investigating possible investor claims against securities broker Joseph Giordano (also known as Joseph M. Giordano) [CRD: 2278341, Melville, NY]. Mainly, FINRA sanctioned the securities broker, who worked for Aegis Capital Corp. Allegedly, Giordano failed to supervise registered representatives. Here is a brief summary of FINRA’s allegations against Joseph Giordano. FINRA Sanctions […]

Soreide Law Group is investigating possible investor claims against securities broker Joel Kichline (also known as Joel Paul Kichline) [CRD: 1416219, Frontenac, MO. Notably, Stifel Nicolaus Company Incorporated permitted Joel Kichline to resign amid allegations of his misconduct. Supposedly, Kichline possibly engaged in discretionary trading. Here is a brief summary of Stifel Nicolaus Company Incorporated’s […]

Soreide Law Group is investigating possible investor claims against securities broker James Kelly (also known as James E. Kelly) [CRD: 2959343, Owings Mills, MD]. Notably, FINRA sanctioned the securities broker, who worked for Pruco Securities LLC. Here is a brief summary of FINRA’s allegations against James Kelly. FINRA Sanctions Kelly Evidently, on November 22, 2021, […]

Soreide Law Group is investigating possible investor claims against securities broker Jim Kent (also known as James Daniel Kent Jr.) [CRD: 2255753, Pinellas Park, FL]. Mainly, FINRA sanctioned the securities broker, who worked for Emerson Equity LLC. Allegedly, Kent failed to make regulatory disclosures. Also, investors filed disputes about the securities broker. Here is a […]

Soreide Law Group is investigating possible investor claims against securities broker Ian Lowrey (also known as Ian Phillip Lowrey) [CRD: 6367392, New York, NY]. Notably, FINRA punished the securities broker, who worked for Spartan Capital Securities LLC. Supposedly, Lowrey engaged in excessive trading. Here is a brief summary of FINRA’s allegations against Lowrey. Ian Lowrey […]

Soreide Law Group is investigating possible investor claims against securities broker Gregg Ferguson (also known as Howell Gregory Ferguson) [CRD: 4400990, Bellville, TX]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck disclosed that investors complained about the securities broker, who worked for LPL Financial LLC. Notably, investors allege sales practice violations in these disputes, including that […]

Soreide Law Group is investigating possible investor claims against securities broker Greg Hanshew (also known as Gregory Scott Hanshew) [CRD: 2624600, Littleton, CO]. Mainly, FINRA sanctioned the securities broker, who worked for Infinity Financial Services. Allegedly, Greg Hanshew failed to provide information and documents to FINRA when it investigated potential FINRA rule infractions. Here is […]

Soreide Law Group is investigating possible investor claims against securities broker Rett Ellis (also known as Everett Bryant Ellis) [CRD: 4046494, Gulf Breeze, FL]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck disclosed that investors complained about the securities broker, who worked for BBVA Securities Inc. Here is a brief summary of the disclosures about Rett […]