Aegis Investment Corp Clients File Disputes About Securities Broker Cory Bataan The Financial Industry Regulatory Authority (“FINRA”) reports important information regarding securities broker Cory David Bataan (CRD#: 2755223, Melville, New York). Notably, the securities broker, who worked for Aegis Capital Corp from 2012 to 2019, is involved in investor disputes involving clients of that firm. […]

Broker Thomas Laws Involved In Avantax Investors' Complaints Another investor appears to have disputed the sales practices of securities broker Thomas H. Laws (CRD#: 4494448, Silver City, New Mexico). The Financial Industry Regulatory Authority (“FINRA”) BrokerCheck report on Laws shows that two investors disputed his sales practices. Not only that, but both SEC and FINRA […]

Joseph Gunnar Securities Broker Anthony Sica Involved In Investor Suitability Disputes Soreide Law Group brings you this update in regard to securities broker Anthony Sica (CRD#: 1332626, New York, New York). Notably, this securities broker, who worked for Joseph Gunnar And Company LLC since October 2003, is accused of sales practice violations. Specifically, Financial Industry […]

Securities Broker Jay Weiser (Des Pain Financial) Involved In Investment Disputes The Financial Industry Regulatory Authority (“FINRA”) reports new important information in regard to securities broker Jay R. Weiser (CRD#: 1511042, Collinsville, Illinois). Notably, the securities broker, who worked for Des Pain Financial Corporation from June 2000 to June 2018, is involved in two investor […]

Clients Of Titan Securities File Disputes About Securities Broker Rodger Sprouse It appears that investors have challenged the sales practices of securities broker Rodger Sprouse (CRD#: 5483578, Lee’s Summit, Montana). Specifically, the securities broker, who is presently a Titan Securities financial advisor and securities broker, is involved in six investor disputes in which clients allege […]

Edward Jones Clients Target Broker Ronald Radner For Alleged Unsuitable Transactions The Financial Industry Regulatory Authority (“FINRA”) shows through BrokerCheck that investors filed disputes about securities broker Ronald James Radner (CRD#: 5834701, Delray Beach, Florida). Allegations include investor losses caused by unsuitable investment transactions. Here’s more information on these disputes about the securities broker, who […]

Securities Broker Rich Braverman Is Involved In Geneos Wealth Management Client Disputes Soreide Law Group has come across important information in regard to securities broker Richard Mark Braverman (CRD#: 1023227, Lancaster, Pennsylvania). Namely, two of Braverman’s clients brought investment disputes about him. These dispute allege that Braverman caused them to experience investment losses by way […]

In a recent article from Financial Advisor IQ, it was reported that THOMAS JAMES HAGAN, a broker formerly with Morgan Stanley, has been ordered to return money the firm had paid him in promissory notes. In March of 2021, according to a FINRA award document, Morgan Stanley filed a claim against THOMAS JAMES HAGAN with […]

Wells Fargo, Dougherty Clients File Suitability Disputes Involving Broker Jeffrey Hill Soreide Law Group is reviewing potential investor lawsuits to be brought against securities broker Jeffrey Alan Hill (CRD#: 2204945, Bemidji, Minnesota). Evidently, FINRA sanctioned Hill several times for misconduct. Not only that, but 8 investors disputed his sales practices. Let’s take a brief look […]