Investors potentially experienced sales practice violations due to securities broker Peter J. Cox (also known as Peter J Cox) [CRD: 4501828, Mesquite, Nevada], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Peter Cox worked for LPL Financial LLC during the time in question. He is currently registered as both a […]

One or more investors apparently complained about securities broker Madison Morgan [CRD: 7654959, Mandeville, Louisiana], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Madison Morgan has been a registered broker with NYLIFE Securities LLC in Mandeville, Louisiana, since June 22, 2023. Keep reading to discover more about the disclosures involving Madison Morgan […]

JORDAN P RIDER is currently registered with LPL FINANCIAL LLC of Leawood, Kansas. Rider has been registered as a broker with LPL FINANCIAL since 12/14/2010 and as an investment advisor since 7/14/2023. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, JORDAN P RIDER, has 17 years of experience in the securities industry […]

STEPHEN ROBERT MAROTTO (STEPHEN R MAROTTO, STEPHEN MAROTTO, STEVE MAROTTO) is currently registered with MORGAN STANLEY in San Francisco, California.  Marotto has been registered both as a broker and as an investment advisor with MORGAN STANLEY since 4/28/2023.  He was previously registered with FIRST REPUBLIC INVESTMENT MANAGEMENT, INC of San Francisco, California, as an investment advisor […]

Investors potentially experienced losses due to securities broker Chester E. Palid [CRD: 5708649, Plano, Texas], according to disclosures through FINRA’s BrokerCheck. Evidently, Palid has been registered with Transamerica Financial Advisors LLC since January 6, 2012. Below, you can learn more about the disclosures reported concerning Palid. Transamerica Financial Advisors Investor Accused Palid Of Negligence Particularly, […]

Investors potentially experienced sales practice violations because of securities broker James Kellett Darlington II (also known as James Kellett Darlington, Jim Darlington II, Jimm Darlington II, Jimmy Darlington II) [CRD: 2004439, Knoxville, Tennessee], based on disclosures through FINRA’s BrokerCheck. Evidently, Darlington worked for UBS Financial Services Inc. from January 4, 2008, to September 21, 2021. […]

One or more investors apparently complained about securities broker Pragnesh J. Bhatt (also known as Mike Bhatt) [CRD: 5769860, Bethesda, Maryland], according to publicly available information through FINRA’s BrokerCheck. Evidently, Pragnesh Bhatt has been registered with NYLIFE Securities LLC since July 21, 2011. Below, you can learn more about the investor complaints and regulatory findings […]

Investors might have sustained losses due to securities broker Kenneth Scott Wingerter (also known as Ken Wingerter) [CRD: 2741587, Naples, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Kenneth Wingerter worked for Morgan Stanley since May 14, 2021, and was previously employed by Wells Fargo Clearing Services LLC from May 12, […]

The South Florida-based Soreide Law Group has been made aware of the disclosures on the FINRA BrokerCheck CRD report of Florida broker/investment advisor, LINO JOE GUTIERREZ (JOE GUTIERREZ, LINO M GUTIERREZ, LINO GUTIERREZ, LINO J GUTIERREZ). LINO JOE GUTIERREZ was registered a broker with MERRILL LYNCH PIERCE FENNER & SMITH INC of Stuart, Florida from […]