Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Kyung H. Song [CRD: 2760764, East Hills, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Song worked for MML Investors Services LLC from March 25, 2017, to November 27, 2023. Continue reading to […]

Investors possibly experienced losses because of securities broker Kevin Lawrence Kelly [CRD: 2293119, Asheville, North Carolina], according to disclosures on the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Kevin Kelly worked for LPL Financial LLC from October 20, 2010, to June 3, 2021. Here’s more about Kevin Kelly's past employment and allegations of unsuitable investment recommendations. […]

Investors may have experienced financial losses because of Kathryn Jo Hackney, also known as Kathryn Hackney and Kathryn Ohlin [CRD: 1548894, Orange, California], according to disclosures on the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Kathryn Hackney joined LPL Financial LLC in Orange, California on May 18, 2022, and previously worked for CUNA Brokerage Services Inc. […]

FINRA expelled John Petrone [CRD: 5634972, Willowick, Ohio], according to disclosures on FINRA BrokerCheck. Evidently, John Petrone was employed by Farmers Financial Solutions LLC from March 16, 2009, to December 31, 2022. Here’s more about the regulatory actions involving John Petrone. Regulatory Action Against Petrone Concerned Trading In Elder Client’s Account FINRA barred Petrone on […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker John Noel Marcheso [CRD: 869337, Anaheim, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, John Marcheso joined Centaurus Financial Inc. on December 1, 2000. Read below for additional information about the disclosures about this […]

Investors might have sustained losses due to securities broker John Hayward Lord (also known as John Lord) [CRD: 1352023, Calhoun, Georgia], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, John Lord joined Dempsey Lord Smith LLC on March 16, 2007. Keep reading to learn more about John Lord's disclosures. Dempsey Lord Smith […]

Soreide Law Group has filed a FINRA arbitration on behalf of their client (Claimant) against: PFS INVESTMENTS, INC., and their former registered representative, MICHAEL ARCHIMEDE (Respondents). The Claimant is retired and living in Wisconsin.  The Claimant maintains accounts with PFS, and while MICHAEL ARCHIMEDE was with PFS, he was the Claimant’s broker. ARCHIMEDE was an […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Joey Dale Miller [CRD: 6175826, New Braunfels, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Joey Miller worked for Arete Wealth Advisors LLC from October 27, 2014, to November 2, 2023, and for Arete […]

Investors possibly experienced losses because of securities broker Jerry Lawrence Goldblum [CRD: 2362993, Melville, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Jerry Goldblum joined Equitable Advisors LLC on October 14, 2022. He previously worked for Aegis Capital Corp. from November 6, 2015, to October 19, 2022. Here’s more about […]