Did A Broker Sell You PixarBio Corporation Investments? Soreide Law Group is investigating claims on behalf of investors who have been sold PixarBio Corp. by a broker or financial advisor. PixarBio is a biotechnology company headquartered in Fort Lee, New Jersey who purports to be developing “NeuroRelease,” a proprietary method of treating post-operative pain through […]

Wells Fargo Sued For Misappropriation and Unsuitable Recommendations Jeffrey Scott Thompson (CRD#: 4602601, Lakeland, Florida) has been a Wells Fargo Clearing Services LLC registered representative between November 6, 2013 and June 1, 2017. Wells Fargo Advisors disclosed on Thompson’s FINRA BrokerCheck file that Thompson’s activities in the customer’s account between January 29, 2016 and August […]

Soreide Law Group has been contacted by investors who allegedly suffered losses after purchasing AFIN, REITs, and other illiquid investments through broker: BRITTNEY JADE SIAS (Also known as: ROSALIE P SIAS, BRITTNEY SIAS) CRD#: 4274432   At the time the alleged losses took place, Sias was with WESTERN INTERNATIONAL SECURITIES, INC. of WESTLAKE VILLAGE, CA. […]

JOHN GREG SCHMIDT (Also known as: GREG SCHMIDT, JOHN GREGORY SCHMIDT) CRD#: 708094, a 67 year-old former investment advisor from Wells Fargo Advisors Financial LLC, of Dayton, Ohio, allegedly misappropriated over $1.6 million from his clients, many elderly, from at least 2003 through 2017, according to an SEC complaint. The complaint was filed in federal […]

Soreide Law Group has recently been contacted by clients who were sold unsuitable structured notes by former Morgan Stanley of Pasadena, California, broker: KEVIN C YANG (Also known as: CHIAGAN K YANG, CHIAGAN KEVIN YANG, KEVIN YANG) According to FINRA’s BrokerCheck, throughout KEVIN C YANG’s career as a registered representative, over $20,000,000 in settlements were […]

J.P. Morgan Sued By Customers Alleging Misrepresentation Zachary Aaron Morris (CRD#: 5939621, Atlanta, Georgia) has been a registered representative of J.P. Morgan Securities LLC since June 23, 2011. Morris has reported on FINRA BrokerCheck that his sales activities involving a J.P. Morgan Securities LLC customer have led the customer to file Financial Industry Regulatory Authority […]

Cetera Faces Customer Claims Alleging Sales Practice Violations Steven Franklin Brandt (CRD#: 2323730, Alexandria, Virginia) was a registered representative of Cetera Advisors LLC from January 1, 2004 and July 26, 2016. Brandt disclosed on FINRA BrokerCheck that his activities have resulted in a customer filing a Financial Industry Regulatory Authority (“FINRA”) Arbitration Case #18-02210 on […]

Customers Sue Ameriprise Over Unsuitable Investments Brian A. Eisenman (CRD#: 2143778, Florham Park, New Jersey) was a registered representative of Ameriprise Financial Services, Inc. between October 5, 2009 and May 22, 2018. Eisenman reported on the Financial Industry Regulatory Authority (“FINRA”) BrokerCheck that on January 6, 2017, a customer filed a complaint in regard to […]

Stifel Nicolaus Customer Sues Firm For Breach Of Fiduciary Duty Scott Alan Sanders (CRD# 3063288, Fort Myers, Florida) has been a registered representative of Stifel, Nicolaus & Company, Incorporated since January 15, 2009. Sanders disclosed on FINRA BrokerCheck that his activities led Stifel Nicolaus customers to file a customer-initiated investment-related arbitration dated July 9, 2018 […]