Soreide Law Group has filed a FINRA arbitration on behalf of their client (Claimant) against:            WELLS FARGO CLEARING SERVICES, LLC, and their registered representative,             JEREMY C MAURER (Respondents). The Claimant is a widow in her 90s, who resides in California. The lawsuit states that the Claimant’s late husband managed all the household […]

JAMES ALOYSIUS CONWELL II (JIM CONWELL, JAMES A CONWELL) is currently registered with INTERNATIONAL ASSETS ADVISORY, LLC of Daphne, Alabama, as a broker since 7/24/17 and as an investment advisor since 12/18/2018. Conwell was previously registered with WFG ADVISORS, LP of Daphne, Alabama. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, JAMES […]

STEPHANIE LISA HAYES (Lisa Hayes), a former broker/financial advisor with COMMONWEALTH FINANCIAL NETWORK, INC., of South Nyack, New York, recently had a “Customer Dispute” filed against her on October 31, 2024. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, the allegations against STEPHANIE LISA HAYES reported in the “Customer Dispute” are as […]

Soreide Law Group, based in South Florida, is currently investigating claims regarding Miami-based, EVA MARINA OVEJERO, who is currently registered both as a broker and an investment advisor with RAYMOND JAMES & ASSOCIATES, INC at 600 Brickell Avenue in Miami, Florida. Ovejero has been registered with Raymond James since June of 2023.  Before Raymond James, […]

JOHN FRANCIS SCHLAGHECK (JOHN F SCHLAGHECK), according to FINRA’s BrokerCheck, available to the public on FINRA’s website, has been in the securities industry for 39 years and has been listed with 13 firms.  Schlagheck has 13 disclosures on his FINRA CRD report, with 10 of the disclosures “Customer Disputes.” The significance of JOHN F SCHLAGHECK’s […]

Soreide Law Group has been contacted by investors who claimed they had experienced losses due to the alleged purchase of GPB Automotive stock through JAMES MICHAEL ARMOUR (JAMES M ARMOUR), currently listed with AUSDAL FINANCIAL PARTNERS, INC. of Wayzata, Minnesota since 2011. In February of 2021, GPB Automotive Portfolio, LP, was found to be a […]

JAMES JOHN RAIA (JIM RAIA), is currently a broker, registered with MOLONEY SECURITIES CO., INC. of Ridgewood, New York, since 2/1/2018. He was previously listed with SUMMIT BROKERAGE SERVICES, INC from 09/03/2015 - 02/09/2018 and JP TURNER & COMPANY, LLC, from 12/18/2009 - 09/29/2015 both of Ridgewood, New York. Soreide Law Group is investigating the […]

CYNTHIA ANN GIOVACCHINO, according to FINRA’s BrokerCheck, is currently listed as a broker and as an investment advisor with OSAIC INSTITUTIONS, INC. of Seymour, Connecticut, since December of 2023.  Giovacchino has been in the securities industry for 35 years and has been listed with 4 firms. According to BrokerCheck, available to the public on FINRA’s […]

TODD RAY ANDERSON, according to FINRA’s BrokerCheck, was barred by FINRA from acting as a broker or otherwise associating with a broker/dealer firm with a start date of 12/20/2023. Anderson was previously registered both as a broker and as an investment advisor.  He was last listed with BENCHMARK INVESTMENTS, LLC of Tucson, Arizona, from 09/17/2019 […]