One or more investors possibly experienced losses due to securities broker Patrick Roland Hobert [CRD: 805680, Newport Beach, California], according to public information reported on FINRA BrokerCheck. Patrick Hobert joined Centaurus Financial Inc. on July 9, 2007, serving in both securities broker and financial advisor roles. Read below to understand more about the client complaints […]

Soreide Law Group is currently investigating claims made by investors who purchased GWG L Bonds from: RAY DON GALLETTE (RAY D GALLETTE) and/or his daughter, LORRAINE MARIE GALLETTE (LORRAINE M GALLETTE, LORRAINE MARIE SCHMIDT, LORRAINE SCHMIDT). According to FINRA’s BrokerCheck, available to the public on FINRA’s website, RAY D GALLETTE was previously listed with Coastal […]

Investors potentially experienced sales practice violations because of securities broker Marc Gregory Minor [CRD: 2230271, East Peoria, Illinois], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Marc Minor worked for Woodbury Financial Services Inc. from April 23, 2003 to January 19, 2024. As of January 19, 2024, he works for Osaic Wealth Inc. […]

Investors may have incurred losses due to securities broker Scott Lawrence Olson [CRD: 711256, Melbourne, Florida], according to publicly available information found on FINRA BrokerCheck. Olson joined Innovation Partners LLC on July 13, 2021, and IP Financial Advisory Services LLC on July 14, 2021. He previously worked for firms including Atlantic Financial Advisors LLC, Independent […]

Investors reportedly complained about securities broker Nikolai Taylor (also known as Nik Taylor) [CRD: 2510427, New York, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Nikolai Taylor worked for Merrill Lynch from January 29, 2015 to October 3, 2022, and joined Morgan Stanley on September 30, 2022. Keep reading to learn […]

One or more investors possibly experienced losses because of securities broker Gregory Malcolm McLeod (also known as Greg McLeod) [CRD: 2741097, Boca Raton, Florida], based on public information reported on FINRA BrokerCheck. Gregory McLeod joined Newbridge Securities Corporation on January 17, 2002. See the following information to find out more about the disclosures involving McLeod. […]

CHAD MICHAEL ROGERS (CHAD M ROGERS), was formerly registered as a broker with IFP Securities LLC, of Oklahoma City, Oklahoma from 06/02/2022 - 09/15/2023, and before IFP he was registered as a broker with The O.N. Equity Sales Company, of Oklahoma City from 04/25/2013 - 06/01/2022. According to FINRA’s BrokerCheck, CHAD M ROGERS was previously registered […]

Investors potentially experienced sales practice violations due to securities broker George John Cairnes (also known as George Cairnes) [CRD: 4068906, Houston, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. George Cairnes worked for Wells Fargo Clearing Services LLC from January 3, 2011 to July 24, 2023, and later at Chelsea Financial Services […]

Investors may have incurred losses because of securities broker Jason James Walsh [CRD: 5758243, Fort Lauderdale, Florida], according to publicly available information found on FINRA BrokerCheck. Jason Walsh worked for PHX Financial Inc. from June 3, 2022 to June 24, 2024; Network 1 Financial Securities Inc. from May 12, 2020 to May 25, 2022; Joseph […]