The Financial Industry Regulatory Authority (FINRA) reports important information regarding securities broker James William Dunn Jr. [CRD#: 6084258, Vienna, VA]. Dunn worked for (1) Ameriprise Financial Services LLC from 2019-2021; (2) Wells Fargo Clearing Services LLC from 2015-2019; and (3) Morgan Stanley from 2012-2015. Evidently, FINRA barred Dunn as a securities broker. Also, one or […]

Soreide Law Group is investigating possible investor claims against securities broker Bryon Edwin Martinsen [CRD#: 1621649, Kings Park, NY]. Martinsen worked for (1) Centaurus Financial Inc. from 1999-2022; and (2) AXA Advisors LLC from 1987-1999. Notably, Financial Industry Regulatory Authority (FINRA) BrokerCheck sanctioned Martinsen for allegedly selling away. Also, Centaurus Financial investors disputed the sales […]

Investors have come forward with complaints about securities broker David Jonathon Feigeles [CRD#: 1530561, Melville, NY]. Feigeles worked for Oppenheimer & Co. Inc. from 2003-Present and CIBC World Markets Corp from 2000-2003. Evidently, the securities broker discloses Oppenheimer investor disputes on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Specifically, one or more Oppenheimer clients allege that […]

Soreide Law Group is investigating possible investor claims against securities broker Yin Yvonne Zhong AKA Yvonne Zhong [CRD#: 3203120, Los Gatos, CA]. Zhong worked for (1) NI Advisors from 2018-Present; (2) Cetera Investment Services from 2017-2018; and (3) LPL Financial LLC from 2017-2017. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that one or more […]

Soreide Law Group is investigating possible investor claims against securities broker Alexander Strachan Hackley Jr. AKA Lex Hackley [CRD #: 4899317, Centennial, CO]. Hackley worked for (1) Lifemark Securities Corp from 2017-present; (2) Blue Duck Wealth Management from 2017-2018; and (3) Verus Capital Partners LLC from 2015-2017; and (4) Woodbury Financial Services from 2005 to […]

Soreide Law Group is investigating possible investor claims against securities broker Patrick Christopher Durst [CRD #: 6328382, Centennial, CO]. Durst worked for (1) Lifemark Securities Corp from 2018-present and (2) Jackson National Life Distributers from 2014-2018. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses Lifemark investors disputed the sales practices of the securities broker. Evidently, […]

Soreide Law Group is investigating possible investor claims against securities broker Clark Owen [CRD #: 6096730, Cupertino, CA]. Owen worked for (1) Cetera Investment Advisors and Cetera Investment Services from 2018-Present; (2) NI Advisors from 2016-2018; and (3) Voya Financial Advisors from 2014-2015. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that a NI Advisors […]

Soreide Law Group is investigating possible investor claims against securities broker Seth Barnes Stewart [CRD #: 5467292, Jeffersonville, IN]. Stewart worked for (1) Center Street Securities Inc. from 2012-2020; (2) American Equity Investment Corp from 2009 to 2012; and (3) Center Street Securities Inc. from 2009-2009. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that […]

UBS Financial Services Investors have come forward with complaints about securities broker William Word Huthnance [CRD #: 4326519, Houston, Texas]. Huthnance has been employed by UBS Financial Services since 2015. Specifically, UBS Financial Services clients allege that Huthnance made unsuitable recommendations and misrepresentations. For more on these disclosures about Huthnance, see below. William Huthnance Allegedly […]