Soreide Law Group is investigating possible investor claims against securities broker Allyson Jo Trantum [CRD#: 2896970, Temecula, CA]. Trantum has worked for J.W. Cole Advisors Inc. from 2018-Present and LPL Financial LLC from 2016-2018. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that a J.W. Cole Financial client disputed Trantum’s sales practices and that LPL […]

The Financial Industry Regulatory Authority (FINRA) reports allegations of sales practice violations by securities broker John Sebastion Cangialosi [CRD#: 3273830, New York, NY]. Cangialosi worked for (1) S.W. Financial from 2019 to 2022; (2) Worden Capital Management LLC from 2016 to 2019; and (3) Legend Securities Inc. from 2013 to 2016. Evidently, one or more […]

Soreide Law Group is investigating possible investor claims against securities broker Betsy Lou Whipple [CRD#: 2703262, Hiko, NV]. Whipple worked for (1) Newbridge Financial Services as a financial advisor from 2018-Present; (2) Newbridge Securities Corporation as a securities broker from 2018-Present; and (3) Greenleaf Financial Network LLC as a financial advisor from 2017-2018. Specifically, Financial […]

Investors have come forward with complaints about securities broker James Patrick Shawver, AKA Jim Shawver [CRD#: 2571148, Boynton Beach, FL]. Shawver worked for (1) Blackridge Asset Management LLC from 2020-Present as a financial advisor; (2) Peak Brokerage Services LLC from 2020-Present as a securities broker; (3) Independent Financial Group from 2013-2020 as a securities broker […]

Soreide Law Group is investigating possible investor claims against securities broker Michael Anthony Fahsholtz [CRD#: 2057306, Wenatchee, WA]. Fahsholtz worked for Stifel Nicolaus & Company Inc. from 2011-2020 and Wells Fargo from 2005-2011. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that Stifel Nicolaus & Company investors disputed Fahsholtz’s sales practices. Evidently, investors allege sales […]

Investors have come forward with complaints about securities broker Rodrigue Lors AKA Rodrique Lors [CRD#: 4379214, Westbury, NY]. Lors worked for (1) Wilmington Capital Securities LLC from 2017-Present and (2) National Securities Corporation from 2007-2017. Evidently, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that one or more National Securities Corporation investors disputed the sales practices […]

Soreide Law Group is investigating possible investor claims against securities broker Christopher Grant Conness [CRD#: 4778193, Fort Lauderdale, FL]. Conness worked for (1) Global Wealth Management Investment Advisory Inc. from 2017-Present; (2) Madison Avenue Securities LLC from 2017-Present; (3) Global Financial Private Capital LLC from 2010-2018; and (4) G.F. Investment Services LLC from 2009-2017. Specifically, […]

Soreide Law Group is investigating possible investor claims against securities broker Brent Michael Foster [CRD#: 5054998, Carmel, IN]. Foster worked for (1) J.P. Morgan Securities LLC from 2012-2017; (2) Chase Investment Services Corp from 2009-2012; and (3) Securian Financial Services Inc. from 2009-2009. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that Indie Asset Partners […]

Investors have come forward with complaints about securities broker Joseph Ijong Chu [CRD#: 4546805, Stamford, CT]. Chu has been employed by (1) RBC Capital Markets LLC from 2018-Present as a broker and as an investment advisor. He was associated with Merrill Lynch from 2002-2018. Evidently, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses RBC Capital Markets […]