SUMMIT BROKERAGE SERVICES Censured
SUMMIT BROKERAGE SERVICES Reprimanded By FINRA The Financial Industry Regulatory Authority (FINRA”) announced that it sanctioned Summit Brokerage Services [...]
WALTER CLARK Cause Your Losses?
WALTER CLARK Sell You Unsuitable Investments? The Financial Industry Regulatory Authority (FINRA) reports on BrokerCheck that clients have disputed [...]
WILLIAM ROBERTSON Give You Bad Advice?
WILLIAM ROBERTSON Give You Bad Investment Recommendations? Soreide Law Group is evaluating possible claims on behalf of investors who [...]
MARK SACHSE Barred By FINRA
MARK SACHSE Barred By FINRA The Financial Industry Regulatory Authority (“FINRA”) barred Ameriprise Financial Services Inc. broker Mark Sachse [...]
JEFFREY SCHWEBACH Suspended By FINRA
JEFFREY SCHWEBACH Suspended By FINRA The Financial Industry Regulatory Authority (“FINRA”) announced that it issued Independent Financial Group (“IFG”) [...]
DONALD FOWLER Guilty Of Securities Fraud
DONALD FOWLER Liable For Securities Fraud The Securities and Exchange Commission (“SEC”) announced on June 20, 2019 that Donald [...]
GPB Armada Waste Management Losses?
GPB Armada Waste Management Losses? Soreide Law Group is reviewing possible claims of unsuitability against brokers who sold investors [...]
MICHAEL BARNETT Sell You Unsuitable Investments?
MICHAEL BARNETT Sell You Unsuitable Investments? Have you invested with JJB Hilliard WL Lyons LLC general securities representative Michael [...]
MICHAEL VETERE Losses?
MICHAEL VETERE Losses? Investors are disputing the sales practices of TFS Securities Inc. general securities representative Michael Vetere (CRD#: [...]
GARRY SAVAGE Misrepresent Your Investments?
GARRY SAVAGE Misrepresent Your Investments? Soreide law Group is reviewing possible investor claims against Wall Street Strategies securities broker [...]
JOHN SCHMIDT Sentenced To Prison For Securities Fraud
JOHN SCHMIDT Sentenced To Prison For Securities Fraud Wells Fargo Advisors securities broker John Schmidt (CRD#: 708094, Dayton, Ohio) [...]
SEAN BRADY Barred, Sued By Investors
SEAN BRADY Barred, Sued By Investors The Financial Industry Regulatory Authority (“FINRA”) barred First Allied Securities Inc. broker Sean [...]
ROBERT LAWSON Barred by SEC and FINRA
ROBERT LAWSON Barred by SEC and FINRA The SEC barred Lawson Financial Corporation (“LFC”) founder and CEO Robert Lawson [...]
STEPHEN WOOD Investigated BY FINRA
STEPHEN WOOD Investigated BY FINRA The Financial Industry Regulatory Authority (“FINRA”) announced April 2, 2019 that it made a [...]
NICOLAS BARRIOS Expelled By FINRA
NICOLAS BARRIOS Expelled By FINRA The Financial Industry Regulatory Authority (“FINRA”) announced it expelled UBS Financial Services Inc. securities [...]
Jury Rules Against DONALD J. FOWLER
A jury ruled against broker, DONALD J. FOWLER (CRD#: 4989632), and in favor of the SEC recently in a [...]
Michael Dawson UBS Texas MLP losses?
MICHAEL DAWSON Misrepresent Your Investments? The Financial Industry Regulatory Authority (“FINRA”) reports troubling allegations against Deutsche Bank Securities broker [...]
TIMOTHY WRIGHT Losses?
Timothy Wright Losses? Soreide Law Group is reviewing whether investors suffered losses due to possible sales practice violations by [...]
Lawsuit Filed Against LPL FINANCIAL LLC
Soreide Law Group is investigating, and a recent FINRA arbitration has been filed on behalf of the clients (Claimants) [...]
JOHN MORABITO Give You Unsuitable Advice?
JOHN MORABITO Give You Unsuitable Advice? If you invested through Merrill Lynch securities broker John Morabito (CRD#: 4651112, Alpharetta, [...]