RICHARD LYNN PITTMAN (RICHARD L PITTMAN, RICK PITTMAN) CRD#: 2845145, according to the Financial Industry Regulatory Authority’s (FINRA) BrokerCheck, had a Customer Dispute filed against him in September of 2019. RICHARD LYNN PITTMAN is currently a financial advisor with CETERA ADVISORS LLC, of Memphis, Tennessee. According to FINRA’s records, the pending dispute filed in September […]

Broker Jimmy Jacobs Allegedly Concealed Annuity Information Soreide Law Group is reviewing possible investor disputes against AXA Advisors securities broker James “Jimmy” Allen Jacobs (CRD#: 256420, Chesterfield, Virginia). Not only has Virginia State Corporation Commission imposed special supervisory procedures seemingly because of Jacobs’ transgressions in the industry, but at least 5 clients raised serious concerns […]

National Planning Corp, a broker/dealer unit of the annuities company, Jackson National Life Insurance, has been ordered by the Financial Industry Regulatory Authority (FINRA) to pay $2.6 million to their 84 year-old client who purchased fraudulent promissory notes, non-traded real estate investment trusts (REITs) and other unsuitable investments recommended by their former broker, William Glaser, […]

Broker Steve Netzel Allegedly Recommended Unsuitable Alternative Investments Soreide Law Group is reviewing possible claims of unsuitable sales or recommendations by securities broker Steve Netzel (CRD#: 2863170, Sun Lakes, Arizona). Namely, at least one client of Kalos Capital challenged Netzel’s investment recommendations suggesting that he gave bad advice. Also, Arizona Corporation Commission censured him from […]

There is yet another legal dispute looming over GPB Capital Holdings, which raised $1.5 billion from investors through the sale of high-commissioned, high-risk private placements, writes Bruce Kelly in a recent InvestmentNews article.  This dispute is over the control of the Volkswagen's auto dealerships that GPB purchased. Volkswagen of America Inc. filed an amended complaint […]

FINRA Issues Indefinite Suspension To David Rockwell The Financial Industry Regulatory Authority (“FINRA”) reports that it indefinitely suspended David Rockwell (CRD#: 4236377, Fort Myers, Florida). It appears that Rockwell failed to respond to requests for information that FINRA made in 2019. BrokerCheck shows that his suspension started on December 16, 2019 and may convert to […]

Tavenner Company Broker Dean Mings Allegedly Sold Bad Annuities Soreide Law Group is investigating possible investor claims about investment losses attributable to the securities business of broker Dean Mings [CRD#: 1197212, Springfield, Ohio]. Supposedly, the broker, who worked for Tavenner Company between 2002 and 2018, reports that the company disaffiliated with him for an outside […]

Clients File Disputes About Invest Financial's Eric Stuckey Clients are coming forward with disputes concerning Eric Stuckey [CRD#: 2445666, Suwanee, Georgia]. Notably, the securities broker, who associated with Invest Financial Corporation from 2009 to 2018, discloses 5 customer disputes about him on Financial Industry Regulatory Authority (“FINRA”) BrokerCheck. Notably, Invest Financial clients indicate in these […]

Clients Indicate Kalos Capital Broker Eric Weschke Sold Bad BDCs and GPB Funds Soreide Law Group is looking into potential investor disputes against securities broker Eric Weschke [CRD#: 2486324, Setauket, New York]. Supposedly, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck shows that at least 14 clients took issue with the securities broker, who joined Kalos Capital […]