Li Lin Hsu, the former Ameriprise Financial advisor from Los Angeles, California, received a 136-month prison sentence for the alleged Ponzi scheme she was operating which fleeced her clients out of approximately $8.1 million. According to news reports, Li Lin Hsu defrauded 20 clients, including some relatives, by promising them to invest their money in […]

Cape Securities Broker Kevin Meadows Suspended For Excessive, Unsuitable Trading On January 28, 2020, the Financial Industry Regulatory Authority (“FINRA”) suspended Kevin Meadows (CRD#: 2878889, Columbus Georgia). Namely, the securities broker, who worked at Cape Securities (2013 to 2017), Lombard Securities (2018) and IBN Financial Services (2018 – present), accepted sanctions from the financial watchdog […]

UBS Broker Juan Goytia Discloses 89 Investor Disputes Soreide Law Group is reviewing possible claims of sales practice violations by Juan Goytia (CRD#: 4473937, San Juan, Puerto Rico). Namely, the Financial Industry Regulatory Authority (“FINRA”) reports that the securities broker, who worked for UBS from February 14, 2002 to July 27, 2018, is entangled in […]

Broker Clifford Reid Allegedly Misrepresented Investments Soreide Law Group is looking into potential investor disputes against securities broker Clifford Reid [CRD#: 1905920, New York, New York]. Evidently, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck shows that at least 7 clients took issue with the securities broker, who started with Reid Rudiger in 1999. Notably, clients of […]

Clients Take Aim At Jeff Eiler For Suitability Investors are alleging investment losses because of the securities business of Jeff Eiler [CRD#: 1028716, Fort Lauderdale, Florida]. Supposedly, the securities broker, who joined Wells Fargo on February 17, 2006, discloses 12 investor disputes reported on Financial Industry Regulatory Authority (“FINRA”) BrokerCheck. Notably, Wells Fargo clients indicate […]

FINRA Investigating Allegations Of Excessive Trading By First Standard Broker Andre Davis Soreide Law Group is reviewing possible investor claims against Andre Davis [CRD#: 1417097, Red Bank, New Jersey]. Apparently, he worked for First Standard Financial Company between 2015 and 2019 and joined Paulson Investment Company in 2019. It appears that Financial Industry Regulatory Authority […]

DH Hill Investors Indicate Charles Stevens Sold Bad Investments Soreide Law Group is investigating potential investor claims against securities broker Charles Stevens [CRD#: 1698058, Saint Augustine, Florida]. Notably, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck reports that no less than 5 clients contested the securities recommendations or sales of the securities broker, who joined DH Hill […]

KRISTIAN L FINFROCK (CRD#: 5421676) currently listed with KALOS CAPITAL, INC. of Evansville, Wisconsin, has been named in a FINRA complaint for allegedly selling alternative and risky investments, mainly GPB Capital.  According to reports, Finfrock also sold other alternative investments and non-traded REITs.  Some of these alleged products were: Cottonwood Residential, HPI Real Estate Opportunities […]

Investors File Suitability Disputes About Carlos Abella Soreide Law Group is investigating potential investor claims of bad securities sales practices by broker Carlos Abella [CRD#: 3207913, Guaynabo, Puerto Rico]. Evidently, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck reports no less than 23 clients who contested the securities recommendations or sales of the securities broker, who joined […]