Soreide Law Group, obtained the following information on FINRA’s website listed with the January 2021 Disciplinary Actions on the broker: Brett Stephen Briggs (CRD #1226255, Calabasas, California). On November 17, 2020,  an Acceptance, Waiver and Consent (AWC) was issued in which Brett Stephen Briggs was barred from association with any FINRA member in any principal […]

Securities Broker Damian Bell In Hot Water Over Alternative Investment Disputes The Financial Industry Regulatory Authority (FINRA) reports troubling information in regard to securities broker Damian Marlon Bell (CRD#: 2348521, Daphne, Alabama). Notably, the securities broker, who worked for firms including International Assets Advisory, International Assets Investment Management, and WFG Investments, has been targeted by […]

GARY WAYNE HAMMOND (GARY W HAMMOND, GARY HAMMOND) CRD#: 2660432, a broker formerly with MML Investors Services of Charlotte, North Carolina, was barred by FINRA due to allegations that he didn’t notify his firm about private security transactions. On January 19, 2021, without admitting or denying FINRA’s findings, GARY WAYNE HAMMOND consented to the sanction […]

Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: COMMONWEALTH FINANCIAL NETWORK (Respondent). The Claimant resides in Arizona and has maintained an investment relationship with the Respondent through the Kevin Dick Group. COMMONWEALTH FINANCIAL NETWORK and its representatives were allegedly made aware that the Claimant did not want to […]

Broker Ryan Raskin Barred By Financial Industry Regulatory Authority The Financial Industry Regulatory Authority (FINRA) announced that it expelled securities broker Ryan Ashley Raskin (CRD#: 5539610, Beverly Hills, California). Specifically, for refusing to cooperate in an investigation, the financial industry watchdog declared on January 13, 2021 that Raskin can no longer associate with FINRA firms. […]

Clients Of Triad Advisors Dispute Mark Just's Sales Practices Investor Alert! There are problematic disclosures on the FINRA BrokerCheck report of Mark William Just (CRD#: 1138738, Indianapolis, Indiana). Evidently, Just is a Triad Advisors LLC broker. He also works as a financial advisor for The Just Company. Notably, the securities broker is involved in multiple […]

Soreide Law Group is investigating claims made by investors against MICHAEL ANTHONY FAHSHOLTZ (MICHAEL FAHSHOLTZ) CRD#: 2057306, a broker formerly with Stifel, Nicolaus & Co. in Wenatchee, Washington. According to FINRA’s BrokerCheck, MICHAEL FAHSHOLTZ was previously registered both as a broker and as an investment advisor. Fahsholtz has been in the securities for 29 years […]

Ameriprise Clients Indicate That Broker Shawn Parker Possibly Sold Unsuitable, Misrepresented Investments The Financial Industry Regulatory Authority (FINRA) reports troubling information regarding Ameriprise Financial Services securities broker Shawn Elizabeth Parker (CRD#: 1768234, Schaumburg, Illinois). Notably, there are seven disputes reported on the securities broker’s public record. Also, Ameriprise reportedly permitted Parker to resign in June […]

Investors Take Aim At Craig Sutherland In Suitability Disputes Soreide Law Group is evaluating whether to bring investor lawsuits against securities broker Craig Alan Sutherland (CRD#: 2001873, Columbus, Ohio). Of particular concern is that the securities broker, who works for Money Concepts Capital Corp as both a securities broker and financial advisor, is involved in […]