Park Avenue Securities' Robert Wynn Involved In Investors' Suitability Disputes Investors have come forward to challenge the sales practices of securities broker Robert Charles Wynn (CRD#: 2458453, Glendale, California). The securities broker, who worked for securities firm Park Avenue Securities from 1999 to 2017, is involved in at least seven investor disputes. Notably, investors allege […]

AXA Equitable Broker David Cohen Targeted In Disputes Alleging Unsuitable Recommendations The Financial Industry Regulatory Authority (“FINRA”) reports troubling information regarding securities broker David Allan Cohen (CRD#: 4531744, Rockville, Maryland). Apparently, the securities broker, who worked for AXA Advisors LLC between 2002 and 2017, reports at least three investor disputes. Notably, one or more investors […]

Laidlaw Securities Broker Joseph Fedorko Involved In Disputes Over His Trading Practices The Financial Industry Regulatory Authority (“FINRA”) reports troubling information regarding Laidlaw securities broker Joseph Michael Fedorko Jr. (CRD#: 2007317, Greenwich, Connecticut). Evidently, 18 investors have come forward to dispute Fedorko’s sales practices. These disputes allege various sales practice violations including suitability, misrepresentation, breach […]

Broker Murray Petersen Involved In SCF Investor Disputes The investment loss recovery team at Soreide Law Group provides you with this Investor Alert in regard to securities broker Murray Petersen (CRD#: 1311730, Roseville, California), who is on the receiving end of multiple investor disputes. Evidently, this broker, who also goes by the name Todd Peterson, […]

In a recent article from Investment News, it was reported that John Michael Krohn (John Krohn CRD#: 2722975, West Des Moines, Iowa) former broker with Principal Securities Inc. of West Des Moines, Iowa, is facing $39.2 million in legal damages from at least three investors’ complaints that allege John Krohn, engaged in selling away, or […]

A Financial Industry Regulatory Authority (FINRA) arbitration panel has awarded two claimants over $1 million.  The claimants were clients of UBS Securities who had purchased UBS Yield Enhancement Strategy (UBS YES). The UBS YES strategy, or yield enhancement strategy, is a form of investing, when a broker sells the client call or put options to […]

Securities Broker Leonard Fox Accused Of Misappropriation Soreide Law Group is investigating possible investor disputes to be brought against securities broker Leonard Fox (CRD: 1034449, Marlton, New Jersey). It appears that this securities broker, who worked for Morgan Stanley (2011 and 2013) and FSC Securities Corporation (2013 to 2016), is involved in a number of […]

Securities Broker Katherine Clark Involved In Investor Disputes Alleging Unauthorized, Excessive Trades The Financial Industry Regulatory Authority (“FINRA”) contains troubling information about Katherine S. Clark (CRD#: 856235, Chevy Chase, Maryland). Evidently, the securities broker worked for firms including Citigroup Global Markets (1993 to 2005), Merrill Lynch (2005 to 2014) and RBC Capital Markets (2014 to […]

GARY BRIAN DODDS (Gary Dodds CRD#: 840109) a former stock broker with Raymond James Financial Services of Bend, Oregon, was issued $220,000 in civil penalties by the Oregon Division of Financial Regulation, and Raymond James Financial Services, Inc. agreed to pay $123,279 in restitution to the victims of the alleged excessive trading practices of Gary […]