BRIAN JOSEPH VISCONTI is currently with THE JEFFREY MATTHEWS FINANCIAL GROUP, L.L.C. of Tampa, FL since March 8, 2022. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, BRIAN JOSEPH VISCONTI, has been in the securities industry for 13 years and has been listed with 7 firms. Visconti has 3 disclosures on his […]

On August 14, 2024, former UBS Financial Services Inc. of Newport Beach, California, broker, Luis E Nin, was fined $5,000 and given a one-month suspension by FINRA. According to a recent article in AdvisorHub, the ex-UBS broker placed 10 trades in a client’s account after allegedly finding out that the client had died. The article […]

A recent article in InvestmentNews, states that the Financial Industry Regulatory Authority Inc. (FINRA) has barred CHRISTOPHER B REYNOLDS (CHRISTOPHER BARRETT REYNOLDS), on August 16, 2024.  Reynolds had allegedly been forging clients’ signatures on annuities documents, with the goal of using proceeds of the liquidations of annuities to purchase units of a registered index-linked annuity […]

Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC. (Respondent) The Claimant brings this lawsuit as a result of the Respondent and its former Financial Advisor, John Jay Kersey’s, alleged misconduct. According to FINRA’s BrokerCheck, NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC of Cincinnati, Ohio permitted […]

Financial Industry Regulatory Authority (FINRA) barred securities broker Reuben Lamont Brown [CRD: 7089559, Southlake, Texas], and Edward Jones investors complained about him, according to disclosures on BrokerCheck. Evidently, Reuben Brown worked for Edward Jones from August 2, 2019, to September 2, 2022. Keep reading to learn more about the securities broker’s disclosures. Brown Expelled By […]

PETER LEWIS GOFFIN (PETER L GOFFIN), a former broker/financial advisor with Newbridge Securities of Boca Raton, Florida (10/06/2003 - 10/05/2023) currently has three pending “Customer Disputes.” Allegedly, some of these losses are due to recommendations of GWG L Bonds and other alternative investments, some totaling over $500,000 in damages. Some of the alleged alternative investments […]

Investors potentially sustained damages through securities broker Patrick Michael Mendenhall [CRD: 1068809, Houston, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Mendenhall worked for USCA Securities LLC from April 20, 2010, and U.S. Capital Wealth Advisors LLC from June 30, 2021. Here’s an overview of the securities broker’s disclosures. USCA Securities […]

Investors possibly experienced losses because of securities broker Joseph Farrell Beam [CRD: 5407778, Flat Rock, North Carolina], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Joseph Beam worked for Capital Investment Group Inc. from August 20, 2013, to June 5, 2023. Below, you’ll find a summary of the securities broker’s disclosures. Capital […]