Soreide Law Group comes to you with new information regarding securities broker Neil David Berlant (CRD#: 19550, Los Angeles, California). Namely, FINRA sanctioned the securities broker, who worked for D.A. Davidson & Co. (DADCO) between November 2013 and June 2020. Also, his employer discharged him in May 2020, and a client complained about his sales […]

The Financial Industry Regulatory Authority (FINRA) reports client disputes involving securities broker Joseph Harold Sterling (CRD#: 1101378, Apple Valley, Minnesota). Three of those disputes concern Sterling's actions while he worked for Geneos Wealth Management Inc., and one of the disputes concerns Sterling's actions with SunAmerica Securities Inc. Let's take a closer look at the allegations […]

The Financial Industry Regulatory Authority (FINRA) contains important information regarding securities broker David Michael Stevens (CRD#: 2830472, La Jolla, California). Evidently, Stevens worked for securities firms Northwestern Mutual Investment Services (2011 to 2013), MML Investors Services (2014 to 2015), and Park Avenue Securities LLC (2015 to 2020). It seems that FINRA barred Stevens as a […]

Financial industry watchdog, FINRA, barred securities broker Michael Paul Francoeur (CRD#: 5534184, Somersworth, New Hampshire). Notably, this bar prevents Francoeur from associating with FINRA-member firms, some of whom are major financial institutions. It appears that Francoeur refused to give information to FINRA in regards to a client complaint. Also, BrokerCheck shows that Cambridge Investment Research […]

Soreide Law Group is examining potential investor disputes concerning securities broker Marlyn Leroy McClain, aka Marlyn McClain and Marylou McClain (CRD#: 325415, Elkhorn, Nebraska). Evidently, McClain joined NYLife Securities LLC as a securities broker in October 1982. Currently, BrokerCheck shows that four investors filed disputes concerning suitability and representations relating to insurance transactions. Here's a […]

Soreide Law Group is reviewing potential investor disputes concerning securities broker Christopher Neil Watkins (CRD#: 4456445, Louisville, Kentucky). Namely, Watkins joined LPL Financial in 2011 as both a financial advisor and securities broker. He joined Silver Oaks Securities in December 2018 and Magnate Advisory Services in March 2019. Notably, LPL Financial disaffiliated with Watkins in […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows important information about securities broker Robert Hayes Hoffmann (CRD#: 4008798, Indianapolis, Indiana). Evidently, Hoffmann worked for securities firms Robert W. Baird & Co. Incorporated, Northwestern Mutual Investment Services, LLC, Woodbury Financial Services, Inc., and Thurston, Springer, Miller, Herd & Titak, Inc. Notably, at least 4 investors complained about […]

Soreide Law Group is investigating potential investor disputes pertaining to securities broker Vincent Leonard Petrangelo (CRD#: 2866580, Springfield, Massachusetts). Evidently, Petrangelo worked for securities firms NYLife Securities, Morgan Stanley, Raymond James & Associates (2006 to 2018 as both financial advisor and securities broker), and Ameriprise Financial Services (2018 to present). Notably, six investors disputed Petrangelo's […]

The Financial Industry Regulatory Authority (FINRA) contains important investment information concerning securities broker Jeffrey Lewis Eglow (CRD#: 1299960, Boca Raton, Florida). It appears that Eglow worked for securities firms Wells Fargo Advisors (2012 to 2015 as a broker and financial advisor), SunTrust Investment Services (2015 to 2017 as a broker and financial advisor), Newbridge Securities […]