Investors potentially experienced sales practice violations by securities broker Gregory Wayne Berg [CRD: 3081088, Houston, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Gregory Berg worked for LPL Financial LLC from August 23, 2023, to January 5, 2026, and previously worked for Merrill Lynch from July 27, 2005, to August 25, 2023. Read on to find out more about the disclosures involving this securities broker.
Notably, a client of LPL Financial LLC disputed Berg’s sales practices, according to a complaint dated November 18, 2025. Allegedly, Berg made misrepresentations and engaged in unauthorized transactions involving the annuitization of an annuity. It appears that Berg allegedly caused the client to sustain damages related to variable annuities. As a result, the client sought compensation from LPL Financial LLC or Berg in the amount of $200,000 in this matter.
Particularly, on December 15, 2025 LPL Financial LLC disaffiliated with Berg. Specifically LPL Financial LLC alleged that Berg did not promptly elevate a client complaint to the firm and resolved that complaint without obtaining the firm’s required written authorization.
Are you concerned about investments you made through Gregory Berg? Contact Soreide Law Group at (888) 760-6552 or online and speak to a securities lawyer about a potential recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the United States. Also, our securities lawyers represent investors on a contingency fee basis and advance all costs. Berg and brokerage firms Berg worked for deny allegations of sales practice violations.
FINRA sanctioned securities broker Lester Joel Hochler [CRD: 3209012, McDonough, Georgia], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Hochler worked for Cape Securities Inc. from March 17, 2016, to April 14, 2026, and joined American Global Wealth Management Inc. on December 5, 2019. He was also associated with G.F. […]
Investors might have sustained losses due to securities broker Roger Allan Roemmich [CRD: 1293322, Red Bank, New Jersey], given the public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Roger Roemmich worked for Alexander Capital LP from October 2, 2020, to May 30, 2025, as a general securities representative. See below to learn more about […]
Investors potentially incurred losses because of securities broker Avinesh Kumar Shankar [CRD: 6232970, Roseville, California], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Avinesh Shankar worked for Pruco Securities LLC from October 9, 2019, to March 13, 2024. Investors are encouraged to continue reading to find out more about the disclosures involving Shankar […]
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