Misconduct Allegations Against UBS Financial Services Brokers UBS Financial Services Inc.  (CRD#: 8174) is a Financial Industry Regulatory Authority (“FINRA”) regulated brokerage firm and (“SEC”) regulated investment adviser firm. UBS’ main offices are in Weehawken, New Jersey. UBS has reported 858 discloses regarding its alleged mishaps in the securities industry. 453 of those disclosures concern […]

Soreide Law Group (888-760-6552) has recently been contacted by investors who were clients of the broker, formerly with STIFEL, NICOLAUS & COMPANY, INC. of Pepper Pike, Ohio: ANDREW BRUCE ELSOFFER (ANDREW ELSOFFER) CRD#: 2580009   The former clients of ANDREW ELSOFFER allege they were sold large concentrations of Linn Energy and Memorial Productions Partners. Linn […]

Soreide Law Group is investigating claims on behalf of investors who invested in the GBP Automotive Portfolio, LP. Soreide Law Group has recently been contacted by investors in GBP Automotive Portfolio who are concerned that they may not be receiving their full distributions. GBP Automotive Portfolio, LP, Investigation GBP Automotive Portfolio, LP is a private […]

Former NFL Star and Lottery Winner Are both Awarded $4.2 Million In A Lawsuit Against Morgan Stanley A former NFL star and a lottery millionaire has won a lawsuit against Morgan Stanley to the tune of $4.2 million after a Finra arbitration panel slammed the firm for failure to supervise one of its brokers who […]

H.D. Vest Customers Allege Karl Ronald Foust Sold Unsuitable Investments Karl Ronald Foust Jr. (CRD#: 1010291, Boca Raton, Florida) is a prior H.D. Vest Investment Services securities representative. Foust began working at the firm’s Boca Raton, Florida branch on November 5, 2009. Financial Industry Regulatory Authority (“FINRA”) BrokerCheck shows that numerous customers have complained about […]

Pruco Terminates Brokers Michael Pineda, Donna Guglielmi, Rajen Sheth Pruco Securities, LLC (CRD#: 5685) is a Financial Industry Regulatory Authority (“FINRA”) regulated brokerage firm and (“SEC”) regulated investment adviser firm. Pruco Securities, LLC’s main offices are in Newark, New Jersey. Since September 22, 2003, Pruco Securities has amassed 42 discloses regarding its alleged mishaps in […]

Morgan Stanley Terminates Brokers Jill Cade, David Cote, Jesse Weissberger Morgan Stanley is both a brokerage firm registered with Financial Industry Regulatory Authority (“FINRA”) and investment adviser firm registered with Securities and Exchange Commission (“SEC”). FINRA BrokerCheck reports that the firm has been in 45 regulatory matters in which the firm allegedly violated FINRA rules […]

Customers Allege Unsuitability Against Santander Securities, Roberto Feria Cestero Roberto Feria Cestero (CRD#: 3266245, Hato Rey, Puerto Rico) is a prior Santander Securities LLC securities broker. He worked at the dually-registered brokerage firm and investment adviser firm from July 14, 2006 to October 14, 2016. Evidently, many investors have disputed Cestero’s sales practices. Specifically, the […]

Claims Against Wells Fargo’s Scott Hilton, Ricardo Guimaraes, Jason Pokorny Soreide Law Group is investigating possible claims of unsuitability against Wells Fargo Clearing Services, LLC brokers Scott Hilton, Ricardo Guimaraes and Jason Pokorny. Wells Fargo Clearing Services, LLC is a brokerage firm regulated by the Financial Industry Regulatory Authority (“FINRA”) and investment adviser firm regulated […]