On November 25, 2020, a former broker from Mutual of Omaha Investor Services (MOIS) in Oconomowoc, Wisconsin, 50 year-old, EDWARD EARL MATTHES (EDWARD MATTHES) CRD#: 2788055, was issued with a three-count information by the US Attorney’s office, charging him with wire fraud in violation of Title 18, United States Code, Section 1343.  EDWARD MATTHES has […]

Soreide Law Group has filed a FINRA arbitration on behalf of their client (Claimant) against: STIFEL NICOLAUS & COMPANY, INCORPORATED (Respondent) The Claimant is now retired and living in Montana. The Claimant became a customer of STIFEL NICOLAUS & COMPANY and registered representative, Robert Pierre Holland (CRD#1962105), on or about 2014. Robert Pierre Holland is […]

A FINRA arbitration has been filed on behalf of the client (Claimant) against: FIDELITY BROKERAGE SERVICES LLC (Respondent) The lawsuit alleges that FIDELITY BROKERAGE SERVICES and their Financial Advisor, Christopher Meadows, recommended that the Claimant invest in a speculative options investment known as the Premium Income Strategy through Mariner Wealth Advisors. The Fund purchased municipal […]

New Jersey Bars Robert Merlo For Fraud Conviction New Jersey Bureau of Securities barred prior Allstate Financial Services securities broker Robert Merlo (CRD#: 1608409, Midland Park, New Jersey) for theft and fraudulent practices. Not only that, but Financial Industry Regulatory Authority (“FINRA”) also barred Merlo from the securities industry. Here’s a closer look at the […]

Broker Clement Chichester Targeted In Disputes About Alternative Investments The Financial Industry Regulatory Authority (“FINRA”) reports troubling allegations of misconduct by securities broker Clement Chichester (CRD#: 1255275, Westlake Village, California). It appears that three or more investors complained about Chichester, who worked for Western International Securities from 2012 to 2017 when the firm disaffiliated with […]

Losses In Premium Income Strategy at Mariner Wealth Advisors?  Are you a high net worth individual who was sold on the “conservative” Premium income strategy by Mariner Wealth Advisors?  This strategy was for individuals with at least $500k to invest, where Mariner used marginable assets to cover the margin requirements to then sell puts and […]

Investors Dispute CFS Broker Jacqueline Hanson's Sales Practices Investor Alert! Soreide Law Group is investigating possible investor lawsuits to be brought against securities broker Jacqueline L. Hanson (CRD#: 2903017, Newark, New Jersey). Mainly, the Financial Industry Regulatory Authority (“FINRA”) reports troubling allegations of sales practice violations by Hanson, who worked for CUSO Financial Services (“CFS”) […]

On November 18, 2020, police in North Texas charged KEITH TODD ASHLEY with the murder of a client in February of 2020, and allegedly staging the client’s death to look like a suicide to gain control of the client’s finances. Ashley was already under investigation for an alleged Ponzi-scheme. In a recent article in InvestmentNews, […]

Securities Broker John Kellar Might Have Caused Investor Losses Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports six investor disputes on the BrokerCheck report of securities broker John P. Kellar (CRD#: 1436046, Naples, Florida). Namely, investors who brought disputes indicate that Kellar, who presently works for Wells Fargo, seemingly sold unsuitable investments causing losses. […]