Investors have come forward with complaints about securities broker Katherine Greer Nishnic (also known as Katherine Greer Martinson and Katherine Diane Nishnic) [CRD: 2499553, Lexington, South Carolina]. Evidently, the securities broker, who worked for J.P. Turner Company LLC and Centaurus Financial Inc., disclosed client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. For more on […]

Soreide Law Group is investigating possible investor claims against securities broker Jorge Antonio Netto [CRD: 2432661, Miami, Florida]. Notably, FINRA sanctioned the securities broker, who worked for Boreal Capital Securities LLC. Allegedly, Netto engaged in an undisclosed outside business activity. Here is a brief summary of FINRA’s allegations against Netto. Boreal Capital Securities LLC Securities […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Claudio Gambin Neto (also known as Claudio Gambin) [CRD: 5752180, Orlando, Florida]. Evidently, investors disputed the sales practices of the securities broker, who worked for Northwestern Mutual Investment Services LLC. Additionally, the securities broker disclosed a regulatory enforcement action. Read on to learn […]

Soreide Law Group is investigating possible investor claims against securities broker Jason Murphy [CRD: 4521914, Oxford, Michigan]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for CCO Investment Services Corp. For example, clients alleged unsuitable recommendations. Here is a brief summary of the […]

Investors have come forward with complaints about securities broker Adam R. Melville [CRD: 5311511, Sherman Oaks, California]. Evidently, the securities broker, who worked for Southwest Securities Inc. and Hilltop Securities Inc., disclosed client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. For more on these disclosures about Melville, see below. Hilltop Securities Inc. Investor Accused […]

Soreide Law Group is investigating possible investor claims against securities broker Philip Marchese [CRD: 5905008, New York, New York]. Notably, FINRA sanctioned the securities broker, who worked for Spartan Capital Securities LLC. Allegedly, Marchese engaged in excessive trading. Here is a brief summary of FINRA’s allegations against Marchese. FINRA Sanctions Spartan Capital Securities LLC Securities […]

Investors have come forward with complaints about securities broker James Bernis Lunsford (also known as Jim Lunsford) [CRD: 2222307, Sonoma, California]. Evidently, the securities broker, who worked for Mid Atlantic Capital Corporation, disclosed client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Mid Atlantic Capital Corporation clients allege breach of fiduciary duty, misrepresentation, among […]

Soreide Law Group is investigating possible investor claims against securities broker Gina Rea Kidd [CRD: 6658538, Bedford, Virginia]. Notably, FINRA sanctioned the securities broker, who worked for Allstate Financial Services LLC. Supposedly, Kidd failed to testify during an investigation into possible FINRA rule violations. Here is a brief summary of FINRA’s allegations against Kidd. FINRA […]

Investors have come forward with complaints about securities broker Michael Kane III [CRD: 5099883, Houston, Texas]. Notably, the securities broker, who worked for BBVA Securities Inc. and Hilltop Securities Inc., disclosed client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. For more on these disclosures about Kane, see below. Michael Kane Disclosed Unsuitable Recommendations Allegations […]