FINRA BrokerCheck reports that investors alleged losses because of Stewart Taylor Paxton Ginn Jr. (also known as Stewart Ginn) (CRD#: 4503197, Santa Maria, California). Notably, Ginn works with Independent Financial Group LLC as of September 3, 2015, and worked with Navian Capital Securities LLC in Cincinnati, Ohio from February 18, 2021, to March 10, 2023. […]

Soreide Law Group is investigating potential claims on behalf of investors who may have incurred losses due to the actions of Patrick Michael Mendenhall (CRD#: 1068809, Houston, Texas). Evidently, Mendenhall works with USCA Securities LLC since April 20, 2010, and with U.S. Capital Wealth Advisors LLC since June 30, 2021. Previously, he worked with USCA […]

Soreide Law Group is investigating potential claims on behalf of investors who may have suffered losses due to the actions of Jeffrey T. Kennedy [CRD: 5094149, Quincy, Illinois]. He was employed by Center Street Securities Inc. from March 10, 2010, to December 1, 2023. Notably, several clients have filed FINRA Arbitrations against Kennedy, citing unsuitable […]

Between February and April 2022 Morgan Stanley sold approximately 82% of its stock ownership in Bed Bath and Beyond (BBBY), or approximately 5,744,409 shares. Morgan Stanley has had a long standing ownership in the stock since it was one of the lead underwriters in BBBY bonds back in 2014 when BBBY sold the following bonds: 3.749% 2024 […]

Soreide Law Group is investigating potential claims on behalf of investors who may have suffered losses due to the actions of Richard Whitfield Brown [CRD: 1595628, Fort Myers, Florida]. Evidently, Brown has a history of employment with Summit Brokerage Services Inc. from May 2, 2003, to September 20, 2019, and more recently with Cetera Advisor […]

Soreide Law Group is currently investigating potential claims on behalf of investors who may have sustained losses due to securities broker and financial advisor, Yuting Cheng (Emily Cheng and Yu-Ting Cheng) [CRD#: 5719286, Arcadia, California]. Cheng has maintained registrations with Wells Fargo Clearing Services LLC since December 13, 2022. Other recent associations include BancWest Investment […]

Soreide Law Group is currently conducting an investigation into potential claims on behalf of investors who may have incurred financial losses involving securities broker and financial advisor, Wesley Howard Triani (also known as Wes Triani) [CRD#: 1025539, Hauppauge, New York]. Triani worked for Equity Services Inc. [CRD#: 265] from February 2003 to August 2023. Notably, […]

Did you invest through securities broker Tim Vorpahl (also known as Timothy James Vorpahl) [CRD#: 1457312, Spokane, Washington]? Evidently, Vorpahl joined Vorpahl Wing Securities Inc. in 1999. FINRA sanctioned him for his failure to supervise. FINRA Sanctioned Vorpahl For Failure To Supervise And Inadequate Procedures Particularly, on March 11, 2022, FINRA issued Case: 2020065149802 sanctioning […]

Soreide Law Group is currently investigating potential claims on behalf of investors who have sustained financial losses involving securities broker and financial advisor, Tammie Lyn Farrell (also known as Tammie Lyn Brown, Tammie Lyn Burk, and Tammie Burk Farrell) [CRD#: 2475931, Franklin, North Carolina]. Tammie Farrell is registered both as a securities broker with Capital […]