Investors complained about securities broker David Fleming Crossan (CRD: 2537752, Manchester, New Jersey). Notably, the securities broker, who worked for Wells Fargo Clearing Services LLC, disclosed client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Namely, Wells Fargo Clearing Services LLC clients allege that Crossan breached a fiduciary duty and gave unsuitable advice, among other […]

Investors have come forward with complaints about securities broker Cynthia Mary Couyoumjian (also known as Cynthia Mary Koczkodan) (CRD: 1456630, Tustin, California). Notably, the securities broker, who worked for Independent Financial Group LLC, disclosed client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Namely, Independent Financial Group LLC clients allege that Couyoumjian gave unsuitable advice. […]

Investors complained about securities broker Leo Li-Yuan Chien (CRD: 4169619, San Gabriel, California). Notably, the securities broker, who worked for Cetera Investment Services LLC, disclosed client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Namely, Cetera Investment Services LLC clients allege that Chien gave unsuitable advice. For more on these disclosures about Chien, see below. […]

Investors have voiced complaints about securities broker Kerry Thomas Cassell (CRD: 2069521, Charlotte, North Carolina). Notably, the securities broker, who worked for Merrill Lynch Pierce Fenner Smith Incorporated, disclosed client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Namely, Merrill Lynch Pierce Fenner Smith Incorporated clients allege that Cassell made misrepresentations. For more on these […]

FINRA reports important information about securities broker Jesus Manuel Bravo (CRD: 2838164, Plainview, New York). Not only has FINRA sanctioned Bravo for making unsuitable recommendations, but investors disputed the sales practices of the securities broker. However, Bravo denies the allegations. Read on to learn more about the allegations against Bravo. FINRA Sanctions Bravo For Unsuitable […]

Investors complained about securities broker Michael Christopher Blumer (CRD: 4861312, Melville, New York). Notably, the securities broker, who worked for SW Financial, disclosed client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Namely, SW Financial clients allege that Blumer gave unsuitable advice, engaged in excessive trading, and committed other sales practice violations. For more on […]

Soreide Law Group is looking into possible investor claims against securities broker Archie Abel Blood Jr. (also known as Bud Blood) (CRD: 1861277, Holland, Michigan). Particularly, FINRA sanctioned the securities broker, who worked for Cambridge Investment Research Inc. Allegedly, Blood engaged in private securities transactions. Here is a brief summary of FINRA’s allegations against Blood. […]

Soreide Law Group is looking into possible investor claims against securities broker Christopher Robert Black (also known as Chris Black) (CRD: 2186558, Houston, Texas). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for UBS Financial Services Inc. Evidently, investors allege sales practice violations […]

Investors have voiced complaints about securities broker Kurt Russell Baldry (CRD: 1568930, Otsego, Minnesota). Notably, the securities broker, who worked for Ausdal Financial Partners Inc., disclosed client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Namely, Ausdal Financial Partners Inc. clients allege that Baldry made unsuitable recommendations. For more on these disclosures about Baldry, see […]