Investors potentially experienced sales practice violations due to securities broker Alan Bartlett Harrison (also known as Bart Harrison) [CRD: 1616987, Trussville, Alabama], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Harrison has been registered with Concorde Investment Services LLC since May 6, 2015. Read on to discover more about Harrison’s disclosures […]

Investors apparently complained about securities broker Joseph Michael Cason (also known as Joey Cason) [CRD: 2455720, Brunswick, Georgia], based on disclosures on FINRA BrokerCheck. Evidently, Cason has been registered with Osaic Wealth Inc. since August 23, 2024, and previously worked at Triad Advisors LLC in Brunswick, Georgia, from March 9, 2016, to August 23, 2024. […]

FINRA sanctioned securities broker Phillip Curtis Anderson [CRD: 814936, Roseville, California], and investors complained about him, based on publicly available information Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Anderson worked for Kingswood Capital Partners LLC from June 15, 2018, to June 30, 2023, and Niagara International Capital Limited from March 24, 2017, to June 15, […]

Investors might have sustained losses due to securities broker Joe Bryan Hall [CRD: 833873, Glendale, California], according to disclosures on FINRA BrokerCheck. Evidently, Hall worked for Berthel Fisher Company Financial Services Inc. from July 31, 2006, to April 6, 2021, and later for Cambridge Investment Research Inc. from April 5, 2021, to April 13, 2022. […]

Investors potentially experienced sales practice violations due to securities broker Zwi Anthony Pechthalt (also known as Tony Pechthalt) [CRD: 2422846, Bellingham, Washington], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Pechthalt has been registered with Edward Jones since January 26, 1994, as a broker and since October 22, 2004, as an investment […]

Investors potentially experienced sales practice violations due to securities broker David John Taddeo [CRD: 1163829, La Mesa, California], based on public information on FINRA BrokerCheck. Evidently, Taddeo worked for LPL Financial LLC from September 26, 2000, to March 8, 2024. Read on to discover more about the disclosures involving this securities broker. LPL Financial LLC […]

SEC sanctioned securities broker Tony Barouti (also known as Ahmad Agha Barouti) [CRD: 3031995, Los Angeles, California], and investors complained about him, based on publicly available information Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Barouti has been registered with Emerson Equity LLC since June 13, 2017. Read below to find out more about the disclosures […]

Investors apparently complained about securities broker Adam Michael Chustz [CRD: 4129813, Paducah, Kentucky], based on disclosures on FINRA BrokerCheck. Evidently, Chustz worked for Edward Jones in Paducah, Kentucky, from March 28, 2000, to February 9, 2018, and has been registered with Stifel Nicolaus since February 13, 2018, in Paducah, Kentucky, and St. Louis, Missouri. Read […]

Soreide Law Group is reviewing potential investor claims involving possible misconduct by securities brokers and financial advisors. One investment drawing scrutiny is Wolf Run, a Delaware Statutory Trust, which was marketed to investors nationwide. Information has surfaced suggesting that this product may not have been appropriate for many individuals, and that investors should be aware […]