Soreide Law Group is investigating possible investor claims against securities broker Ed Maklouf (also known as Ahmad Mohamed Maklouf) [CRD: 6092943, New York, NY]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck disclosed that investors complained about the securities broker, who worked for Spartan Capital Securities LLC. Notably, investors allege sales practice violations in these disputes, […]

Soreide Law Group is investigating possible investor claims against securities broker Aaron Brewer (also known as Aaron Weston Brewer) [CRD: 5451527, New York, NY]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck disclosed that investors complained about the securities broker, who worked for J.P. Morgan Securities LLC. Notably, investors allege sales practice violations in these disputes, […]

Recently the Securities and Exchange Commission “SEC” filed a case styled SEC v. JMJ Capital Group and Richard Lee Ramirez. This is an SEC enforcement action filed in the United States District Court for the Southern District of California on September 30, 2022.  JMJ Capital Group (“JMJ”) is a California corporation and Richard Lee Ramirez (“Ramirez”) […]

Investors have come forward with complaints about securities broker Cheryl Young (also known as Cheryl Lynn Young and Cheryl Lynn Sitze) (CRD:  3065471, Incline Village, NV). Evidently, the securities broker, who worked for Morgan Stanley, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Morgan Stanley and Ameriprise Financial Services clients allege that […]

Soreide Law Group is investigating possible investor claims against securities broker Chip Wodrich (also known as Charles William Wodrich) (CRD:  2715728, Goodyear, AZ). Evidently, Hornor Townsend Kent LLC terminated the securities broker for cause, and investors filed disputes about him. Allegedly, Wodrich engaged in unauthorized trading and made unauthorized communications with clients regarding securities business. […]

Soreide Law Group is investigating possible investor claims against securities broker Polly Stoecklein (also known as Polly Marie Stoecklein and Polly Marie Ison) (CRD:  1041896, Manhattan, KS). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Independent Advisor Alliance. Evidently, one or more […]

Investors have come forward with complaints about securities broker Thomas Caine Shultz (CRD:  5614228, Scottsdale, AZ). Evidently, the securities broker, who worked for Coastal Equities Inc., discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Coastal Equities Inc. clients allege that Shultz made unsuitable recommendations and failed to perform due diligence. For more […]

Soreide Law Group is investigating possible investor claims against securities broker Andrew Schell (also known as Andrew David Schell) (CRD:  6536347, Colorado Springs, CO). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for D.A. Davidson Co. Evidently, one or more investors alleged that […]

Investors have come forward with complaints about securities broker Pat Russi (also known as Praxedes Russi) (CRD:  2588105, Garden City, NY). Evidently, the securities broker, who worked for Worden Capital Management LLC, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, one or more investors allege that Russi churned accounts, charged excessive commissions, […]