Customers Allege Misrepresentation By Allstate Brokers Patrick Phillips, Brian Toms Allstate Financial Services (CRD#: 18272, Lincoln, Nebraska) is a brokerage firm regulated by Financial Industry Regulatory Authority (“FINRA”). The firm has reported three regulatory actions concerning its failure to abide by securities industry rules and regulations. For example, FINRA fined the firm $1,000,000.00 for failing […]

Attention: Foresters Financial Services Discharges Brokers Ioulia Guerin, Richard Dismore Foresters Equity Services, Inc. (CRD#: 18464, San Diego, California) is a Financial Industry Regulatory Authority (“FINRA”) member brokerage firm. Evidently, as of December 14, 2018, it is pending withdrawal as a Securities Exchange Commission (“SEC”) registered investment adviser. Apparently, the firm reports on FINRA BrokerCheck […]

Deutsche Bank Securities Terminates Brokers Jonathan Sdao, Joseph Reardon Deutsche Bank Securities Inc. (CRD#: 2525) is a brokerage firm which the Financial Industry Regulatory Authority (“FINRA”) regulates. Also, the firm has an investment advisory which the Securities and Exchange Commission (“SEC”) regulates. Notably, Deutsche Bank Securities has a whopping two hundred eighty disclosures on FINRA […]

CUNA Brokerage Services Terminates Brokers Michael Grant, Michal Osgood CUNA Brokerage Services (CRD#: 13491) is a brokerage firm which is regulated by the Financial Industry Regulatory Authority (“FINRA”). CUNA also does business as an investment adviser firm regulated by the Securities and Exchange Commission (“SEC”).  Apparently, the FINRA BrokerCheck Report for CUNA Brokerage Services shows […]

FINRA Bars CP Capital Securities’ Alexis Lertora For Misrepresentation Alexis Lertora (CRD#: 4821845, Miami, Florida) is a past general securities representative of CP Capital Securities. He worked at CP capital Securities from June 2015 to April 2017. Apparently, three months later, on July 31, 2017, FINRA expelled the firm. Most importantly, Financial Industry Regulatory Authority […]

Morgan Stanley Customers Dispute Broker Vincent Magee’s Sales Practices Vincent Michael Magee (CRD#: 2720508, Marco Island, Florida) is a past general securities representative of Morgan Stanley. Specifically, at least seven customers of Morgan Stanley and Raymond James & Associates, Inc. (Vincent Magee’s prior employer) complained about Vincent Magee’s sales practices. Take a look at some […]

Suffered Investment Losses From Ameriprise Broker Jason Tuberosa? Soreide Law Group is investigating potential claims on behalf of those who invested with Jason Richard Tuberosa (CRD#: 1277676, Sun City Center, Florida), who is a securities representative and supervisor for Ameriprise Financial Services, Inc. Jason Tuberosa commenced employment at Ameriprise Financial Services offices in Sun City […]

Misconduct Alleged Against Ameriprise Brokers Robert Caldwell And Stephen Tadlock Ameriprise Financial Services brokers Robert Alan Caldwell (CRD#: 1995182, Naples, Florida) and Stephen Christopher Tadlock (CRD#: 5746664, Houston, Texas) have reported troubling allegations on Financial Industry Regulatory Authority (FINRA) BrokerCheck about their activities in the securities industry. Those two brokers engaged in the type of […]

LPL Financial Terminates Phillip Boyd, Bernard Gann LPL Financial LLC (CRD#: 6413, Boston, Massachusetts) is a Financial Industry Regulatory Authority (“FINRA”) member brokerage firm. FINRA BrokerCheck shows that the firm terminated brokers including Bernard Wayne Gann and Phillip Dennis Boyd for violating the firm’s policies or possibly violating securities rules or regulations. Here is a […]