Morgan Stanley Clients Allege Damages In Disputes About Broker Jesus Rodriguez The Financial Industry Regulatory Authority (FINRA) provides important information in regard to securities broker Jesus Rodriguez “Jesus Rodriquez” (CRD#: 4888685, El Paso, Texas). Evidently, Rodriguez worked for securities firm Morgan Stanley from 2009 to 2021. Notably, he faces allegations of unsuitable and unauthorized trading […]

The Florida-based Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: NATIONAL SECURITIES CORPORATION (NCS), and their registered representative, MARK GERARD SONNTAG (Respondents). The Claimant is a retiree living in Florida.  The lawsuit alleges that the Respondents knew he was living on a fixed income, and looking to supplement […]

FINRA Issues Suspension To Westpark's Richard Rappaport FINRA BrokerCheck indicates that investors alleged sales practice violations involving securities broker Richard Alyn Rappaport “Rick Rappaport” (CRD#: 1885122, Los Angeles, California) and that those violations resulted in damages. Evidently, Rappaport has worked as a Westpark Capital securities broker since 2004, most recently as CEO. Take a look […]

According to a recent AdvisorHub article, UBS Wealth Management USA alleges that one of its former brokers in Waco, Texas, ROBERT EARL TURNER (ROBERT E TURNER, CRD#: 2113736) stole more than $17 million from clients as part of a scam that ran nearly 25 years.  There was a lawsuit filed in a Texas state court […]

Voya Client Alleges Misrepresentation By Securities Broker William Johnson Soreide Law Group is reviewing investor disputes concerning securities broker William Colie Johnson (CRD#: 3174473, Greenville, South Carolina), as disclosed on FINRA BrokerCheck. Evidently, Johnson was a securities broker at Voya Financial Advisors from 1999 to 2019. Let’s take a closer look at the allegations of […]

Investor Alleges Sales Practice Violation In Dispute About Broker Mark Haenny Investment loss recovery counsel at Soreide Law Group provides you with new information on securities broker Mark Alan Haenny (CRD#: 4574656, Loveland, Colorado), who discloses information about investor complaints on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Haenny worked as a securities broker or […]

Broker Gregory Young Faces Alternative Investment Disputes From Voya Financial Clients FINRA BrokerCheck contains important disclosures on Gregory Scott Young (CRD#: 3063221, Blythewood, South Carolina). It appears that Young worked for Voya Financial Advisors (2012 to 2017), and JP Turner Company (2010 to 2012). You’ll want to take a closer look at the allegations of […]

Client Files Investment Dispute About Jason Skyler (TKG, Kovack) FINRA provides important information in regard to securities broker Jason Brando Skyler (CRD#: 4634466, Santa Barbara, California)). Evidently, Skyler worked as a securities broker or financial advisor for Kovack Securities from 2017 to 2020. Also, he worked for TKG Financial LLC from 2006 to 2017. Here […]

Securities Broker Jeff Cleckner Discloses Disputes By Waddell Reed Clients, First Union Clients FINRA BrokerCheck shows disputes about Jeffrey Dale Cleckner “Jeffery Dale Cleckner” (CRD#: 2500377, Indianapolis, Indiana). Evidently, Cleckner worked as a securities broker and financial advisor for Waddell Reed from 2011 to 2017. Previously, he worked for First Union Securities. You’ll want to […]