Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Glennon James Cole (also known as Glen James Cole) [CRD: 1999588, Manchester, Missouri], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Glennon Cole worked for Moloney Securities Co. Inc. from September 14, 2012, to February […]

Investors possibly experienced losses due to securities broker Gihan Anil Fernando (also known as Gihan Raphael Fernando) [CRD: 4469669, Houston, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Gihan Fernando worked for BOK Financial Advisors and BOK Financial Securities Inc. from March 7, 2003, to November 8, 2023. He joined Cetera […]

FINRA expelled securities broker Gary Alan Kieper [CRD: 4147968, Antigo, Wisconsin], according to Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Gary Kieper worked for Thrivent Investment Management from March 30, 2000, to December 31, 2022. Read below for additional information about Gary Kieper’s disclosures. FINRA Sanctioned Kieper For Failing To Provide Testimony Particularly, on May […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Craig Lee Carson (also known as Chance Carson) [CRD: 41892, Colorado Springs, Colorado], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Craig Carson worked for Intervest International Equities Corporation from December 2, 2003, to December […]

FINRA issued sanctions to securities broker Christopher Mack Watkins (also known as Christopher Watkins) [CRD: 2376887, Farmington, Utah], and an investor complained about him, according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Christopher Watkins worked for Watkins Financial Services Inc. from September 22, 2000, to December 31, 2023. Keep reading to learn […]

FINRA expelled securities broker Christina Dawn Peterman (also known as Christina Dawn Heighton, Christina Dawn Knippers, and Christina Dawn Lay) [CRD: 4064817, Greensboro, North Carolina], according to Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Christina Peterman worked for Truist Investment Services Inc. from August 1, 2021, to May 16, 2023. Here’s more about Christina Peterman’s […]

Investors possibly experienced losses because of securities broker Bryan Scott Foster [CRD: 2702281, Southfield, Michigan], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Bryan Foster joined LPL Financial LLC on October 9, 2009. Here’s more about the securities broker’s disclosures. LPL Financial LLC Investor Accused Foster Of Unsuitable Recommendations Specifically, an LPL […]

On June 10, 2024, IMDADUR RAHMAN (IMADUR ‘GINO’ RAHMAN) a former Merrill Lynch, Pierce, Fenner and Smith Inc. of Bloomfield Hills, Michigan, financial advisor, was barred from the industry by FINRA. Rahman had been terminated by Merrill Lynch, Pierce, Fenner and Smith Inc. amid allegations of misconduct in his dealings with an elderly client, according […]

Soreide Law Group is investigating allegations brought against broker, GIHAN ANIL FERNANDO (also known as: GIHAN RAPHAEL FERNANDO, RAPHAEL FERNANDO) a broker currently listed with CETERA INVESTMENT SERVICES LLC of Houston, Texas, since January of 2024 and formerly with BOK FINANCIAL ADVISORS of Bellaire, Texas. According to FINRA’s BrokerCheck, available to the public on FINRA’s […]