Investors have come forward with complaints about Timothy Allen Thelen (also known as Tim Thelen) (CRD: 1924966, Scottsdale, Arizona). Evidently, the securities broker, who worked for Aeon Capital Inc., discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Particularly, Aeon Capital Inc. clients allege that Thelen breached a contract, breached a fiduciary duty, was […]

Investors have come forward with complaints about Valentino Michael Scott (CRD: 1497615, West Hills, California). Evidently, the securities broker, who worked for Centaurus Financial Inc., discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Particularly, Centaurus Financial Inc. clients allege that Scott made misrepresentations and mismanaged investment accounts. For more on these disclosures about […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Avi Elliot Schottenstein (CRD: 5708665, New York, New York). Not only has Illinois moved for sanctions against Schottenstein, but one or more investors disputed the sales practices of the securities broker. However, Schottenstein denies the allegations. Read on to learn more about the […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Surage Kamal Roshan Perera (also known as Roshan Perera) (CRD: 4716321, Melville, New York). Evidently, investors disputed the sales practices of the securities broker, who worked for Aegis Capital Corporation. Additionally, the securities broker discloses a regulatory enforcement action. However, Perera denies the […]

Investors have come forward with complaints about Ray Gene Reese (CRD: 1694620, Farmington, Montana). Evidently, the securities broker, who worked for Money Concepts Capital Corp, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Particularly, Money Concepts Capital Corp clients allege that Reese made unsuitable recommendations, breached a fiduciary duty, and made misrepresentations. For […]

Soreide Law Group is investigating possible investor claims against securities broker Michael Clarence Nolan (CRD: 1082281, Philadelphia, Pennsylvania). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that he voluntarily resigned from JP Morgan Chase Bank, NA. Evidently, an investor also alleges sales practice violations in a dispute, including that Nolan engaged in unauthorized trading. Here […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Steven M. Netzel (also known as Steve Netzel) (CRD: 2863170, Chandler, Arizona). Not only has FINRA sanctioned Netzel for unsuitable recommendations, but one or more investors disputed the sales practices of the securities broker. However, Netzel denies the allegations. Read on to learn […]

Investors have come forward with complaints about Hagop Jack Nalbandian (CRD: 2921246, Encino, California). Evidently, the securities broker, who worked for Western International Securities Inc., discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Particularly, Western International Securities Inc. clients allege that Nalbandian was negligent and made unsuitable recommendations. For more on these disclosures […]

Soreide Law Group is investigating possible investor claims against securities broker James Charles Naify (CRD: 2316318, Beverly Hills, California). Evidently, Merrill Lynch Pierce Fenner Smith Incorporated terminated the securities broker for cause. Also, a UBS Financial Services Inc. investor complained about him. Here is a brief summary of the allegations against Naify. Merrill Lynch Pierce […]