Raymond James Client's Suitability Dispute Reportedly Involves Broker Bill Conn Financial Industry Regulatory Authority (FINRA) provides new information in regard to securities broker William Joseph Conn (“Bill Conn”) (CRD#: 1477107, San Francisco, California). Specifically, three investors filed disputes about the securities broker, who worked for Salomon Smith Barney and Raymond James. Here’s more on the […]

Clients Of GF Investment Services Bring Suitability Disputes About Andrew Greer Soreide Law Group comes to you with new information in regard to securities broker Steven Andrew Greer (CRD#: 5976309, Charlotte, North Carolina). Namely, two investors filed disputes about the securities broker. Allegations include unsuitable investment transactions by Greer at GF Investment Services LLC, a […]

SII Investments Clients Allege Unsuitable Transactions By Financial Advisor Robert Fross Soreide Law Group comes to you with important information concerning securities broker Robert C. Fross (CRD#: 4509851, The Villages, Florida). Namely, the securities broker and financial advisor, who worked for SII Investments Inc. (2007 to 2018) and LPL Financial (2018 to present), is involved […]

Woodbury Financial Clients Allege Sales Practice Violations By Broker Peter David The Financial Industry Regulatory Authority (FINRA) BrokerCheck contains important information regarding securities broker Peter Werner David (CRD#: 1133608, Waukesha, Wisconsin). Namely, David, who worked for Woodbury Financial Services from February 2009 to July 2018, is involved in two client disputes. Notably, investors allege sales […]

According to FINRA’s BrokerCheck, PETER N GIRGIS (CRD#: 4520444) was fined $7,500.00, suspended  in all capacities for 9 months (1/3/2022 - 10/2/2022), and ordered to pay $169,677.00 in restitution by FINRA. Girgis is currently registered with SW Financial, New York, NY, since 12/10/2019. Without admitting or denying FINRA’s findings, PETER N GIRGIS consented to the […]

Attention clients of Wahed Invest LLC who may have lost money through the robo-advisory program. In a recent press release, the Securities and Exchange Commission (SEC) charged New York-based robo-adviser Wahed Invest LLC (Also know as Wahed, Wahed Invest Inc., Wahed Invest)  with making misleading statements and breaching its fiduciary duty.  The SEC also charged […]

The Financial Industry Regulatory Authority (FINRA) has fined and suspended a former Edward Jones of Milwaukie, Oregon, advisor, Ronald Scott Bright (Ronald S Bright CRD#: 2702179) over allegedly not making changes to his clients’ accounts on the same days that he confirmed the planned changes with the clients, according to a recent article in Financial […]

In a recent article from the New York Post, it is alleged that an elderly New Jersey eye doctor claims her Wells Fargo financial advisor, KENNETH ANDREWS WELSH (KENNETH A WELSH CRD#: 4657872) allegedly misappropriated more than $1.8 million from her investment accounts and then took another $900,000 to buy himself a luxury home.  The […]

FINRA Sanctions McNally Financial For Failing To Supervise NT-ETPs, Options Trading FINRA sanctioned McNally Financial Services Corporation (CRD#: 121196, San Antonio, Texas). Notably, the firm violated FINRA rules relating to supervision of non-traditional exchange traded products (NT-ETPs) and options trades. Soreide Law Group provides you with some of the key details about FINRA’s disciplinary action […]