Soreide Law Group is looking into possible investor claims against securities broker Ronald Lewis Millar III (CRD: 3064161, Weston, Florida). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for MML Investors Services LLC. Evidently, investors allege sales practice violations in these disputes, including […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Mark Martino (CRD: 1010228, White Plains, New York). Not only has FINRA sanctioned Martino for failing to perform due diligence, but investors disputed the sales practices of the securities broker. However, Martino denies the allegations. Read on to learn more about the allegations […]

Investors have voiced complaints about securities broker Brian Charles Kennedy (CRD: 2321416, Camp Hill, Pennsylvania). Notably, the securities broker, who worked for Lincoln Financial Advisors Corporation, disclosed client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Namely, Lincoln Financial Advisors Corporation clients allege that Kennedy made unsuitable recommendations. For more on these disclosures about Kennedy, […]

Soreide Law Group is looking into possible investor claims against securities broker David William Jack (CRD: 2415526, Paramus, New Jersey). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Morgan Stanley. Evidently, investors allege sales practice violations in these disputes, including that Jack […]

Investors complained about securities broker Peter Lewis Goffin (CRD: 1617710, Boca Raton, Florida). Notably, the securities broker, who worked for Newbridge Securities Corporation, disclosed client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Namely, Newbridge Securities Corporation clients allege that Goffin breached a contract and fiduciary duty and provided unsuitable advice. For more on these […]

Soreide Law Group is looking into possible investor claims against securities broker Jake Louis Fruge (CRD: 6187396, Houston, Texas). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for PFS Investments Inc. Evidently, investors allege sales practice violations in these disputes, including that Fruge […]

Soreide Law Group has learned of possible investor claims against securities broker Luis Manuel Espinoza (CRD: 4474528, Riverside, California). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for First Financial Equity Corporation. Evidently, investors allege sales practice violations in these disputes, including that […]

FINRA reports important information about securities broker Dana H. Davis (CRD: 1707708, Hauppauge, New York). Not only has FINRA sanctioned Davis for making unsuitable recommendations and inappropriately used margin, but investors disputed the sales practices of the securities broker. However, Davis denies the allegations. Read on to learn more about the allegations against Davis. FINRA […]

Investors have voiced complaints about securities broker Robert D'Agosta (CRD: 1903105, Center Valley, Pennsylvania). Notably, the securities broker, who worked for Berthel Fisher Company Financial Services Inc., disclosed client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Namely, Berthel Fisher Company Financial Services Inc. clients allege that D'Agosta committed sales practice violations, including providing unsuitable […]