Soreide Law Group is investigating possible investor claims against securities broker Eric Edward Nicolassy [CRD#: 6244539, Red Bank, New Jersey]. Evidently, FINRA sanctioned the securities broker, who worked for Woodstock Financial Group. Notably, FINRA's accusations against the securities broker include excessive and unsuitable trading. Also, an investor filed a dispute about him. Here's more about […]

FINRA BrokerCheck contains allegations of sales practice violations by securities broker Harpreet Singh Mangat [CRD#: 4442530, Princeton, New Jersey]. Evidently, clients disputed the sales practices of the securities broker, who worked for Ameriprise Financial Services. However, Mangat denies the allegations. Read on to learn more. Ameriprise Financial Services Client Accuses Harpreet Mangat Of Breach Of […]

Soreide Law Group is investigating possible investor claims against securities broker Joseph Don Malboeuf [CRD#: 4825607, Colchester, Vermont]. Specifically, FINRA BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for LPL Financial. Evidently, one or more clients allege sales practice violations in these disputes, including failure to follow instructions. Here […]

FINRA reports allegations of sales practice violations by securities broker Kenneth Joseph Heidelberger[CRD#: 5293261, Naples, Florida]. Evidently, investors disputed the sales practices of the securities broker, who worked for Fifth Third Securities. Notably, these disclosures allege Heidelberger engaged in sales practice violations. Read on to learn more about the allegations against Heidelberger. However, please note […]

Soreide Law Group is investigating possible investor claims against securities broker Alexander Steven Batt [CRD#: 2967019, Vero Beach, Florida]. Specifically, FINRA BrokerCheck discloses that investors disputed the sales practices of the securities broker. Evidently, he worked for Merrill Lynch Pierce Fenner Smith Incorporated. Supposedly, one or more clients allege sales practice violations in these disputes. […]

Soreide Law Group is investigating possible investor claims against securities broker Michael Ovitt [CRD#: 1012040, Williamsville, New York]. Specifically, FINRA BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for firms including Wells Fargo Advisors. Evidently, one or more clients allege sales practice violations in these disputes, including unauthorized transactions. […]

JEFFREY T KENNEDY (Jeff Kennedy CRD#: 5094149) currently registered with Center Street Securities of Quincy, Illinois, has received a “Customer Dispute” listed on his FINRA CRD report, July 12, 2022, according to FINRA’s BrokerCheck.  The allegations of the complaint are as follows, “Client alleges that the registered representative recommended unsuitable investments.”  The damages requested are […]

Investors have come forward with complaints about securities broker Stephen Paul Courtney [CRD#: 1141394, Pasadena, California]. Evidently, the securities broker, who worked for Stifel Nicolaus Co., discloses investor disputes on FINRA BrokerCheck. Notably, one or more clients allege omissions, misrepresentations, unsuitable transactions, and negligence. For more on these disclosures about Courtney, see below. However, please […]

Investors have come forward with complaints about securities broker James Tracy Stines [CRD#: 1175075, Richmond, Virginia]. Evidently, the securities broker, who worked for BBT Securities, discloses investor disputes on FINRA BrokerCheck. For more on these disclosures about Stines, see below. BBT Securities Client Accuses James Stines Of Failing To Follow Instructions Evidently, on March 11, […]