The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Kimberly Barentsen AKA Kimberly Ann Bielema and Kimberly Ann Bietema [CRD#: 2092280, Walnut Creek, CA]. Evidently, investors disputed the sales practices of the securities broker, who worked for First Allied Securities. Additionally, the securities broker discloses a regulatory enforcement action. However, Barentsen denies […]

Soreide Law Group is investigating possible investor claims against securities broker Charles Baker AKA Charles Ronald Baker AKA Ron Baker [CRD#: 10600, Lubbock, TX]. Evidently, FINRA sanctioned the securities broker, who worked for Richfield Orion International. Allegedly, Baker failed to testify when FINRA investigated the stockbroker for possible violations of FINRA rules. Here is a […]

Soreide Law Group is investigating possible investor claims against securities broker Frank Avallone AKA Frank Louis Avallone [CRD#: 4814368, South Norwalk, CT]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Newbridge Securities Corp. Evidently, investors allege sales practice violations in these disputes, […]

Soreide Law Group is investigating possible investor claims against securities broker Jesus Alvidrez AKA Jesus Jose Alvidrez [CRD#: 6414709, Brea, CA]. Evidently, FINRA sanctioned the securities broker, who worked for Transamerica Financial Advisors. Allegedly, Alvidrez failed to provide information and documents to FINRA when it investigated possible violations of FINRA rules. Here is a brief […]

Soreide Law Group is investigating possible investor claims against securities broker Ron Keith Phillips [CRD#: 2823393, Walnut Creek, CA]. Phillips has worked for Morgan Stanley since 2009 and UBS Financial Services Inc. from 2002 to 2008. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that Morgan Stanley and UBS Financial Services investors disputed the sales […]

Soreide Law Group is investigating possible investor claims against securities broker John Thomas Holly AKA Tom Holly [CRD#: 1713313, Boca Raton, FL]. Holly has worked for (1) B. Riley Wealth Mgmt. since 2022; (2) B. Riley Wealth Advisors Inc. since 2004; and (3) National Securities Corporation from 2004-2022. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck […]

Soreide Law Group is investigating possible investor claims against securities broker Travis John Wolfe [CRD#: 5851265, Downers Grove, IL]. Wolfe has worked for Ausdal Financial Partners since 2016 and Purshe Kaplan Sterling Investments from 2014-2015. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that clients of Ausdal Financial Partners and Purshe Kaplan Sterling disputed the […]

Soreide Law Group is investigating possible investor claims against securities broker Christian Frank Lucchetto [CRD#: 4648994, Staten Island, NY]. Lucchetto has worked for (1) Arive Capital Markets since 2019; (2) First Standard Financial Company from 2016 to 2019; and (3) Cape Securities Inc. from 2011 to 2016. Evidently, Financial Industry Regulatory Authority (FINRA) sanctioned the […]

Soreide Law Group is investigating possible investor claims against securities broker Fariba Zehtabian Madison [CRD#: 1178259, Los Alamitos, CA]. Zehtabian has worked for (1) Western International Securities from 2012-Present; (2) U.S. Bancorp Investments from 2006-2012; and (3) Citicorp Investment Services from 2005-2006. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that Western International Securities investors […]