JONATHAN MICHAEL TURNER (JONATHAN M TURNER, CRD#: 4853469), previously with Ameriprise Financial Services, LLC, of Hershey, Pennsylvania, has been fined and suspended by the Financial Industry Regulatory Authority (FINRA) for allegedly failing to notify his firm of private business transactions. Turner was fined $5,000.00 and suspended for three months, 4/4/2022 - 7/3/2022. According to the […]

Clients Of BBVA Broker Nicholas McMahan File Disputes Alleging Sales Practice Violations Investor dispute information is reported on FINRA BrokerCheck concerning securities broker Nicholas McMahan, also known as “Nick McMahan” (CRD#: 5578896, Austin, Texas). Evidently, McMahan worked for BBVA Compass Investment Solutions (2011 to 2013), BBVA Securities (2013 to 2021), and BBVA Wealth Solutions (2017 […]

Client Disputes Reported On BrokerCheck Profile Of Mark Elafros Soreide Law Group comes to you with new information in regard to securities broker Mark Lee Elafros (CRD#: 2337393, Chicago, Illinois). Evidently, Elafros worked for securities firms Madison Avenue Securities (2013 to 2016), Ausdal Financial Partners (2016 to 2018), American Trust Investment Services Advisory (2018 to […]

Suitability Allegations Made In Ameriprise Financial Services Client's Dispute About Craig Eastwood Important information appears on Financial Industry Regulatory Authority BrokerCheck relating to securities broker Craig Bradford Eastwood (CRD#: 2931709, Naples, Florida). Evidently, the securities broker, who has worked for Ameriprise Financial Services since 2008 as a financial advisor and securities broker, is involved in […]

Broker Shane McMillan (Arete, Cambridge) Facing Investor Disputes The Financial Industry Regulatory Authority (FINRA) BrokerCheck shows important information on securities broker Dennis Shane McMillan (CRD#: 5126963, Englewood, Colorado). Evidently, McMillan worked for Cambridge Investment Research and Cambridge Investment Research Advisors from 2011 to 2015. Also, he became an Arete Wealth Management securities broker in January […]

MICHAEL MCDERMOTT (MICHAEL MC DERMOTT SR, CRD#: 2745406) has been suspended by the Financial Industry Regulatory Authority (FINRA) for allegedly trading in a client’s account without authorization and was unaware that the customer had died. McDermott was formerly with Wells Fargo Clearing Services, LLC in Mobile, Alabama.  The suspension is in effect from 4/4/2022 to […]

Securities Broker Michael Capolongo Involved In Worden, Laidlaw Investor Complaints Soreide Law Group provides you with an update in regard to the investment disputes involving securities broker Michael Philip Capolongo (CRD#: 5702165, Hauppauge, New York). It appears that three investors disputed Capolongo’s sales practices. Although Capolongo currently works for Network 1 Financial Securities, the investment […]

Investor Disputes Reported On BrokerCheck Record of Marcelo Poliak (Jeffries, Wells Fargo) The Financial Industry Regulatory Authority (FINRA) BrokerCheck shows new investor dispute information regarding securities broker Marcelo Javier Poliak (CRD#: 2465622, Miami, Florida). It appears that Poliak worked for securities firm Wells Fargo Clearing Services. He was a financial advisor and securities broker at […]

Broker Walter Hall Discharged As Securities Broker By Coastal Equities The Financial Industry Regulatory Authority (FINRA) contains new information in regard to securities broker Walter Scott Hall (CRD#: 3109886, Memphis, Tennessee). It appears that Hall used to work for securities firms NYLife Securities (April 2007 to July 2020) and Coastal Equities (September 2020 to February […]