Investors have come forward with complaints about securities broker Rick David Schofield (CRD: 2197999, Lakewood Ranch, Florida). Evidently, the securities broker, who worked for Money Concepts Capital Corp., discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Money Concepts Capital Corp. clients allege that Schofield made unsuitable recommendations, recommended investments which poorly performed, […]

Soreide Law Group is investigating possible investor claims against Ray Anthony Garrido San Pedro (CRD: 4565686, Miami, Florida). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for National Securities Corp. Evidently, one or more investors alleged misconduct in these disputes, including that San […]

Soreide Law Group is investigating possible investor claims against Phil Donahue (also known as Joseph Philip Donahue) (CRD: 1206346, Panama City Beach, Florida). Evidently, Florida State Insurance Commission sanctioned the securities broker, who worked for PFS Investments Inc. Here is a brief summary of Florida State Insurance Commission’s and FINRA’s allegations against Donahue. Florida State […]

Investors have come forward with complaints about securities broker Paul Joseph Brent (CRD: 2470612, Gross Pointe Farms, Michigan). Notably, the securities broker, who worked for Morgan Stanley, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Morgan Stanley clients allege that Brent made misrepresentations. For more on these disclosures about Brent, see below. […]

Soreide Law Group is investigating possible investor claims against Patrick Thomas Gilbride (CRD: 1216940, Brooklyn, New York). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Edward Jones. Evidently, one or more investors alleged misconduct in these disputes, including that Gilbride failed to […]

Investors have come forward with complaints about securities broker Michael Joseph Distler (also known as Mike Distler) (CRD: 6130680, Crystal City, Missouri). Evidently, the securities broker, who worked for National Planning Corporation, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, National Planning Corporation clients allege that Distler made unsuitable recommendations, breached a […]

Soreide Law Group is investigating possible investor claims against Michael James Thaler (CRD: 2557899, Henrico, Virginia). Evidently, Commonwealth of Virginia is investigating the securities broker, who worked for Cambridge Investment Research Inc. Supposedly, Thaler possibly was the subject of a client complaint. Here is a brief summary of Commonwealth of Virginia’s allegations against Thaler. Commonwealth […]

Soreide Law Group is investigating possible investor claims against Mei Xia Guo (also known as Grace Guo) (CRD: 4201624, Monterey Park, California). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Cetera Investment Services LLC. Notably, one or more investors alleged misconduct in […]

Soreide Law Group is investigating possible investor claims against Louis Wargo (CRD: 1416101, Brecksville, Ohio). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for FSC Securities Corporation. Evidently, one or more investors alleged misconduct in these disputes, including that Wargo made unsuitable recommendations, […]