Soreide Law Group is currently investigating potential claims made by investors who purchased GWG L Bonds through PORTSMOUTH FINANCIAL SERVICES and/or their registered representative, KELLY S LAWSON (Also known as KELLY S OTOOLE, KELLY SUELLYN OTOOLE).  Allegedly, other PORTSMOUTH FINANCIAL clients may have also been sold GWG L Bonds in large concentrations. According to a […]

Investor Dispute Concerns Tuan Ngo And VFG Securities New FINRA BrokerCheck disclosures concern securities broker Tuan Anh Ngo “Toon Ngo” (CRD#: 2819426, New York, New York). Evidently, Ngo worked as a financial advisor for VFG Advisors from 2011 to 2018. Also, he was a securities broker for VFG Securities Inc. from 2010 to 2017. Here […]

Barred Securities Broker Ian Ha Involved In AXA Advisors Client Disputes The Financial Industry Regulatory Authority (FINRA) provides important information in regard to securities broker Ian Ha (CRD#: 5679255, Los Angeles, California). It appears that the disclosures involving Ha may concern his employment at securities firms Infinity Financial Services (his employer from 2018 to 2020) […]

Broker Dudley Stephens Sanctioned By FINRA, Involved In An Investor Dispute Soreide Law Group is reviewing investor complaints concerning securities broker Dudley Franklin Stephens “Stephen Franklin Dudley” (CRD#: 4119268, New York, New York), as disclosed on FINRA BrokerCheck. It appears that Stephens worked for Coastal Equities (2016 to 2018) and Prospera Financial Services (2014 to […]

FINRA Suspends, Fines Securities Broker John Quinn Investment loss recovery counsel at Soreide Law Group provides you with new information on securities broker John Daniel Quinn (CRD#: 2576416, Beverly Hills, California), who discloses information about a client dispute and regulatory enforcement action on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Quinn was a securities broker […]

In a recent AdvisorHub article, it was reported that Wells Fargo Advisors terminated one of its San Antonio, Texas brokers, Roger A Graham, earlier this year.  Wells Fargo Advisors gave the justification that could be a warning to other brokers for excessive trading in their own accounts. Wells Fargo said it had terminated Roger A Graham, […]

Allstate Broker Jimmy Nunez Suspended By FINRA And Involved In Investor Dispute Soreide Law Group discusses disclosures on Jimmy William Nunez (CRD#: 6432136, Edgewater, New Jersey). Evidently, Nunez worked as a securities broker for Allstate Financial Services from 2015 to 2020. Let’s take a closer look at the allegations of unauthorized transactions as reported on […]

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 […]