Soreide Law Group is investigating possible investor claims against securities broker Scott Erik Aabel AKA Scott Eric Aabel [CRD#: 1493667, Osprey, Florida]. Specifically, FINRA BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Spire Securities. SagePoint Financial, and Investors Capital. Evidently, one or more clients allege sales practice violations […]

Investors have come forward with complaints about securities broker Shomir Mukherjee AKA Shomir Singh [CRD#: 4121898, Westlake Village, California]. Evidently, the securities broker, who worked for Western International Securities, discloses investor disputes on FINRA BrokerCheck. Evidently, Western International Securities clients allege unsuitable recommendations. For more on these disclosures about Mukherjee, see below. However, please note […]

FINRA reports allegations of sales practice violations by securities broker Steven Mackie Woods AKA Steven Woods [CRD#: 5715598, New York, New York]. Evidently, clients disputed the sales practices of the securities broker, who worked for Laidlaw Company (UK) Ltd. However, Woods denies the allegations of sales practice violations. Read on to learn more about the […]

Soreide Law Group is investigating possible investor claims against securities broker Christopher Lee Hibbard, AKA Chris Hibbard [CRD#: 3176484, Louisville, Kentucky]. Evidently, the Securities and Exchange Commission (SEC) sanctioned the securities broker, who worked for firms including Morgan Keegan Company and Merrill Lynch Pierce Fenner Smith. Notably, Hibbard pled guilty to criminal conduct. Here is […]

Soreide Law Group is investigating possible investor claims against securities broker Rebecca King Wah Ng-Tsang [CRD#: 5578435, Bellevue, Washington]. Specifically, FINRA BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Cetera Investment Services. Evidently, one or more clients allege sales practice violations in these disputes, including misrepresentations. Here is […]

Soreide Law Group is investigating possible investor claims against securities broker David Michael Murray [CRD#: 1870050, New York, New York]. Specifically, FINRA BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Laidlaw Company (UK) Ltd. and HD Brous Co. Evidently, one or more clients allege sales practice violations in […]

Investors have come forward with complaints about securities broker Matthew Stern Buchsbaum [CRD#: 2220565, New York, New York]. Evidently, the securities broker, who worked for UBS Financial Services, discloses investor disputes on FINRA BrokerCheck. Evidently, UBS Financial Services clients allege misrepresentations and unsuitable recommendations. For more on these disclosures about Buchsbaum, see below. However, please […]

Soreide Law Group is investigating possible investor claims against securities broker Eric Edward Nicolassy [CRD#: 6244539, Red Bank, New Jersey]. Evidently, FINRA sanctioned the securities broker, who worked for Woodstock Financial Group. Notably, FINRA's accusations against the securities broker include excessive and unsuitable trading. Also, an investor filed a dispute about him. Here's more about […]

FINRA BrokerCheck contains allegations of sales practice violations by securities broker Harpreet Singh Mangat [CRD#: 4442530, Princeton, New Jersey]. Evidently, clients disputed the sales practices of the securities broker, who worked for Ameriprise Financial Services. However, Mangat denies the allegations. Read on to learn more. Ameriprise Financial Services Client Accuses Harpreet Mangat Of Breach Of […]