Soreide Law Group is investigating claims by investors who received recommendations from their broker/dealers to invest in the non-traded real estate investment trust, The Parking REIT Inc. This REIT could potentially lose 80% of it’s initial value. According to their website, The Parking REIT Inc., is a publicly registered, non-traded real estate investment trust (REIT) […]

Wells Fargo Clients File Disputes About Broker Jeffrey Burton Financial Industry Regulatory Authority (FINRA) BrokerCheck has released new information in regard to securities broker Jeffrey Lamar Burton (CRD#: 2366552, Charleston, South Carolina). Notably, six investors filed disputes in regard to Burton, who worked for securities firms UBS Financial Services (2000 to 2016) and Wells Fargo […]

Melinda Abood (UBS Financial Services) Targeted In Investor Disputes The Financial Industry Regulatory Authority (“FINRA”) reports troubling information in regard to securities broker Melinda Joyce Abood (CRD#: 867463, New York, New York). Namely, the securities broker and financial advisor, who joined UBS Financial Services in April 1986, is involved in five investor disputes. Here’s more […]

Broker Kevin Meadows Is Sanctioned By FINRA For Excessive Trading Soreide Law Group has come across the record of securities broker Kevin Kimball Meadows (CRD#: 2878889, Columbus, Georgia). Notably, FINRA BrokerCheck shows that five investors brought disputes against him. In addition, FINRA suspended him for excessive and unsuitable trading. Here’s more about these disclosures. First […]

CONSTANTINOS GEORGE MANIATIS (CONSTANTINOS G MANIATIS) CRD#: 4253356, formerly with Morgan Stanley, was fined $5,000 and suspended for 30 days by FINRA. Without admitting or denying FINRA’s findings, CONSTANTINOS G MANIATIS consented to the sanctions and to the entry of findings that he allegedly exercised discretion in client accounts despite the fact that his member […]

Securities Broker David Paton Involved In Disputes From RBC Capital Markets Clients The Financial Industry Regulatory Authority (“FINRA”) reveals troubling information in regard to securities broker David Kallman Paton (CRD#: 1746167, Woodbury, Minnesota). Notably, the securities broker, who worked for securities firm RBC Capital Markets LLC, is involved in three investor disputes – two involving […]

EVAN A SCHOTTENSTEIN (CRD#: 4929175), a former financial advisor with JP Morgan Securities, LLC of New York, has been barred by FINRA from acting as a broker or otherwise associating with a broker/dealer firm on April 7, 2021. Schottenstein was previously registered both as a broker and as an investment advisor. According to FINRA, without […]

Prospera, HD Vest Investors Bring Disputes About Michael Kamperman The Financial Industry Regulatory Authority (FINRA) reports new disputes involving HD Vest Investment Services securities broker Michael Kamperman (CRD#: 2002603, Waco, Texas). In fact, FINRA BrokerCheck shows that five investors filed complaints or FINRA arbitration claims alleging sales practice violations by Kamperman. Not only that, but […]

Securities Broker Peter Girgis Under FINRA Investigation For Possible Churning, Unsuitable Trading The Financial Industry Regulatory Authority (“FINRA”) BrokerCheck report for securities broker Peter Girgis (CRD#: 4520444, New York, New York) shows that FINRA is investigating him for unsuitable trading and churning. Moreover, six investors disputed Girgis’s sales practices. These disclosures are summarized below. FINRA’s […]