The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Don Ingram (also known as Donnie Eugene Ingram) [CRD: 1416971, Winter Haven, FL]. Not only has FINRA filed an enforcement action against Ingram, but investors disputed Ingram’s sales practices. However, Ingram denies the allegations of sales practice violations. Read on to learn more […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Brent Greninger (also known as Brent Jason Greninger) [CRD: 5810070, Weston, FL]. Not only has Raymond James Associates Inc. disaffiliated with the securities broker for allegedly selling away, but investors complained about the securities broker. However, Greninger denies the allegations. Read on to […]

Soreide Law Group is investigating possible investor claims against securities broker Ed Maklouf (also known as Ahmad Mohamed Maklouf) [CRD: 6092943, New York, NY]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck disclosed that investors complained about the securities broker, who worked for Spartan Capital Securities LLC. Notably, investors allege sales practice violations in these disputes, […]

Soreide Law Group is investigating possible investor claims against securities broker Aaron Brewer (also known as Aaron Weston Brewer) [CRD: 5451527, New York, NY]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck disclosed that investors complained about the securities broker, who worked for J.P. Morgan Securities LLC. Notably, investors allege sales practice violations in these disputes, […]

Recently the Securities and Exchange Commission “SEC” filed a case styled SEC v. JMJ Capital Group and Richard Lee Ramirez. This is an SEC enforcement action filed in the United States District Court for the Southern District of California on September 30, 2022.  JMJ Capital Group (“JMJ”) is a California corporation and Richard Lee Ramirez (“Ramirez”) […]

Investors have come forward with complaints about securities broker Cheryl Young (also known as Cheryl Lynn Young and Cheryl Lynn Sitze) (CRD:  3065471, Incline Village, NV). Evidently, the securities broker, who worked for Morgan Stanley, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Morgan Stanley and Ameriprise Financial Services clients allege that […]

Soreide Law Group is investigating possible investor claims against securities broker Chip Wodrich (also known as Charles William Wodrich) (CRD:  2715728, Goodyear, AZ). Evidently, Hornor Townsend Kent LLC terminated the securities broker for cause, and investors filed disputes about him. Allegedly, Wodrich engaged in unauthorized trading and made unauthorized communications with clients regarding securities business. […]

Soreide Law Group is investigating possible investor claims against securities broker Polly Stoecklein (also known as Polly Marie Stoecklein and Polly Marie Ison) (CRD:  1041896, Manhattan, KS). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Independent Advisor Alliance. Evidently, one or more […]

Investors have come forward with complaints about securities broker Thomas Caine Shultz (CRD:  5614228, Scottsdale, AZ). Evidently, the securities broker, who worked for Coastal Equities Inc., discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Coastal Equities Inc. clients allege that Shultz made unsuitable recommendations and failed to perform due diligence. For more […]