Investors reportedly may have incurred losses because of securities broker Mary Joanne Petretto (also known as MaryJoanne Petretto and MJ Petretto) [CRD: 3210670, Guilford, Connecticut], according to disclosures on FINRA BrokerCheck. According to the regulator, Mary Petretto has worked for Innovation Partners LLC since November 11, 2015. Here’s more about the disclosures related to this […]

Soreide Law Group has filed a FINRA arbitration on behalf of their clients (Claimants) against: LIFEMARK SECURITIES CORP.  (Respondent) The Claimants are both in their 70s and living in Florida. The Claimants were referred to LIFEMARK broker, JEFFREY SETH MORRISON (JEFFREY MORRISON, JEFFREY S MORRISON) on or about 2019. The lawsuit alleges that Morrison knew […]

Soreide Law Group has filed a FINRA arbitration on behalf of our clients (Claimants) against: CENTAURUS FINANCIAL, INC. (Respondent) The Claimants are retirees living in Florida.  The Claimants were introduced to CENTAURUS’ former broker, DAVID BRUCE WHITE on or about 2016 when they were living in Michigan. The lawsuit states that the Claimants were looking […]

Investors potentially experienced losses due to securities broker Mark Gilbert Beesley [CRD: 5362689, Boston, Massachusetts], according to disclosures on FINRA BrokerCheck. Beesley was employed by Wood (Arthur W.) Company Inc. from August 24, 2021, to April 17, 2023, and previously worked for LPL Financial LLC from March 11, 2019, to November 4, 2020. Keep reading […]

Investors might have received losses because of securities broker Mark Allen Carter (also known as Mark Carter) [CRD: 6387371, Charlotte, North Carolina], according to disclosures on FINRA BrokerCheck. According to the regulator, Mark Carter worked for Pruco Securities LLC from September 8, 2014, to March 25, 2024. Here’s more about the securities broker’s disclosures. Pruco […]

FINRA sanctioned securities broker Kittiany Davis Barrios (also known as Kittiany Davis-Barrios) [CRD: 6941840, Cranbury, New Jersey], according to disclosures on FINRA BrokerCheck. According to the regulator, Davis Barrios worked for PFS Investments Inc. from March 15, 2019, to February 22, 2024. Read on to learn more about the disclosures concerning Davis Barrios. FINRA Sanctioned […]

Investors reportedly may have incurred losses due to securities broker Kathy Ann Borkovec (also known as Kathy Ann Berry and Kathy Ann Wallenfang) [CRD: 1867575, Northbrook, Illinois], according to disclosures on FINRA BrokerCheck. Borkovec has worked for Charles Schwab Co. Inc. since January 9, 2006, as a broker and since March 9, 2006, as an […]

Soreide Law Group has filed a FINRA arbitration on behalf of their client (Claimant) against: COASTAL EQUITIES, INC., and their former registered representative, and JAMIE NOWAKOWSKI (Respondents). The Claimant is in his seventies, retired, and living in Connecticut. The lawsuit states that the Claimant was looking to generate a safe and stable income to sustain […]

JARRETT CARTER THOMAS (JARRETT THOMAS) was formerly registered as a broker with WELLS FARGO CLEARING SERVICES LLP of McClean, Virginia, from 03/27/2008 - 06/23/2023. Thomas was previously registered both as a broker and as an investment advisor. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, JARRETT THOMAS was fined $7,500.00 and suspended […]