Latest Securities Lawyer News

Bruce Lawrence Klein [CRD: 1588544], a securities broker based in Chicago, Illinois, is the subject of a client complaint involving alleged financial harm, according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Klein has been registered with CIBC World Markets Corp. since October 31, 2017, and with CIBC Private Wealth Advisors Inc. since November […]

Timothy Joseph McIntosh (CRD: 2726005) is a financial advisor based in Tampa, Florida, who has been registered with Visionary Horizons LLC since April 13, 2023. He previously worked for PVG Asset Management Corp from December 20, 2016, to April 20, 2023. His Investment Adviser Public Disclosure (IAPD) report lists a pending client complaint alleging a […]

Rachel-Marie Graham (CRD: 7508325), a securities broker based in Bonham, Texas, disclosed a client complaint involving possible investor losses, according to Financial Industry Regulatory Authority (FINRA) BrokerCheck disclosures. Graham worked with State Farm VP Management Corp. since April 16, 2025, and with State Farm Investment Management Corp. since March 10, 2026. Here's what the clients […]

Brent Thomas O'Mara (CRD: 4260408), a former securities broker in Omaha, Nebraska, is the subject of a client complaint involving investment advice and potential investor losses, according to Financial Industry Regulatory Authority (FINRA) BrokerCheck disclosures. He worked with Securities America Inc. from November 4, 2016, to December 31, 2020, and WealthPlan Partners Inc. was his […]

A client accused former securities broker Abebi Bayo Stafford (CRD: 6550592) of unauthorized trading that may have caused investment losses, according to Financial Industry Regulatory Authority (FINRA) BrokerCheck disclosures. Stafford worked as a broker with Ameriprise Financial Services LLC in New Brighton, Minnesota, from May 2016 to October 2026, and has worked for the firm […]

David Neil Soiferman (also known as Dave Soiferman), a securities broker based in Orlando, Florida (CRD: 1990243), is the subject of client complaints involving alleged investment losses, according to Financial Industry Regulatory Authority (FINRA) BrokerCheck disclosures. He worked for Ameriprise Financial Services LLC from April 16, 2010, to June 25, 2026. He has been registered […]

Investors may have suffered losses connected to Tyler Joseph Baeza (CRD: 7658918), a securities broker in Los Angeles, California, based on disclosures in Financial Industry Regulatory Authority (FINRA) BrokerCheck. Baeza worked for Merrill Lynch from January 2023 through July 2026. Here’s a closer look at the disclosure and the rules governing broker discretion. Merrill Lynch […]

Former securities broker Gregory Weido (CRD: 5664093) of Cocoa Beach, Florida, is named in a client arbitration claim involving alleged investment losses, according to Financial Industry Regulatory Authority (FINRA) BrokerCheck disclosures. Weido was registered with PFS Investments Inc. from January 19, 2010, to December 31, 2023. Here’s what the dispute involves and where it stands. […]

Garrick Paolo Montenegro (CRD: 2882898) is a securities broker based in New York, New York, who has worked for UBS Financial Services Inc. since June 24, 2011. Disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck describe investor allegations involving possible investment losses. Here is what the dispute involves and how Montenegro has responded. UBS Clients […]