MARK SCHKLAR Formerly with BB&T SECURITIES Fined and Suspended by FINRA
MARK SCHKLAR (CRD#: 1952816), a former broker with BB&T Securities of Richmond, Virginia, was fined $10,000 by FINRA, and [...]
INVESTOR ALERT: Unsuitability Claims Against UBS Broker WILLIAM HOBBY
INVESTOR ALERT: Unsuitability Claims Against UBS Broker WILLIAM HOBBY William David Hobby (CRD#: 2240076, Atlanta, Georgia) was a UBS [...]
ATTENTION INVESTORS! Customer Files Claim Against Boca Raton, FL Broker BRETT ELLIS
ATTENTION INVESTORS: Customer Claim Against Boca Raton, FL Broker BRETT ELLIS Brett David Ellis (CRD#: 5293493, Boca Raton, Florida) [...]
INVESTOR ALERT: Unsuitability Claim Against Raymond James Broker JORGE RODRIGUEZ
INVESTOR ALERT: Unsuitability Claim Against Raymond James Broker JORGE RODRIGUEZ Jorge Luis Rodriguez (CRD#: 1163742, Coral Cables, Florida) is [...]
SCOTT PATRICK KLOR, Former LPL Broker Fined in Life Settlement Involvement
SCOTT PATRICK KLOR (CRD#: 2493369), a former broker with LPL Financial of Fort Mill, South Carolina, was fined $5,000 [...]
ATTENTION INVESTORS: Claims Against UBS Broker ANITA BRENNAN
ATTENTION INVESTORS: Claims Against UBS Broker ANITA BRENNAN Anita Maria Brennan (CRD#: 858500, San Juan, Puerto Rico) has been [...]
FINRA Fines, Suspends UBS Financial Broker SCOTT MINTZ For Discretionary Trading
FINRA Fines, Suspends UBS Financial Broker SCOTT MINTZ For Discretionary Trading The Financial Industry Regulatory Authority (“FINRA”) just issued [...]
INVESTOR ALERT: Claims Against CUSO Financial Services, ERIC SHANKS
INVESTOR ALERT: Claims Against CUSO Financial Services, ERIC SHANKS Eric Olin Shanks a/k/a Eric Shanks (CRD#: 2724083, Richardson, Texas), [...]
GPB Capital Holdings Fraud?
GPB Capital Holdings Fraud? Soreide Law Group is investigating possible claims against brokers who may have recommended and sold [...]
Customer Complaints Against TCM Securities Broker Jim Heafner
ATTENTION INVESTORS: Customer Complaints Against TCM Securities Broker Jim Heafner James Hal Heafner a/k/a Jim Heafner (CRD#: 4837072, Charlotte, [...]
INVESTOR ALERT: Soreide Law Investigating CBL & Associates Properties, Inc. (NYSE: CBL)
INVESTOR ALERT: Soreide Law Investigating CBL & Associates Properties, Inc. (NYSE: CBL) Soreide Law Group is evaluating possible claims [...]
Customers Allege Bad Sales Practices By Merrill Lynch Broker JUAN BARRERAS
Customers Allege Bad Sales Practices By Merrill Lynch Broker JUAN BARRERAS Juan Guillermo Herrans Barreras (CRD#: 1742910, Miami, Florida) [...]
Former Newbridge Securities of Boca Raton Broker, Dennis Allen Hayes, Barred by FINRA
Soreide Law Group, based in Pompano Beach, Florida, obtained the following information from FINRA’s Disciplinary Report March 2019 on [...]
Losses Due to Recommendations by Boca Raton Broker, Alan Appelbaum?
Soreide Law Group, based in Pompano Beach, Florida, was recently contacted a client who was unhappy with the performance [...]
Eric Steven Smith of Trustee Empowerment & Protection of Troy MI Appeals Decision
Soreide Law Group obtained the following information on FINRA’s March of 2019, Disciplinary Report, which is available to the [...]
“AURORA” Allegedly Recommended by Conrad Bautista and Eric Olin Shanks
Soreide Law Group has been contacted by investors who were allegedly recommended they invest in “Aurora” with former CUSO [...]
FINRA Bars Craig Scott Broker Edward Beyn For Excessive Trading, Churning
FINRA Bars Craig Scott Broker Edward Beyn For Excessive Trading, Churning Edward Beyn (CRD#: 5406273, Syosset, New York) is [...]
ATTENTION INVESTORS! Claims Against UBS Financial Services Broker ANGEL CANABAL
ATTENTION INVESTORS! Claims Against UBS Financial Services Broker ANGEL CANABAL UBS Financial Services broker and supervisor Angel Manuel Canabal [...]
Misconduct Alleged Against LPL Financial Brokers Brian Griffith, Kevin Sofoul, Virginia Nichols
Allegations Of Misconduct Raised Against LPL Financial LLC Brokers Brian Griffith, Kevin Sofoul, Virginia Nichols LPL Financial LLC (CRD#: [...]
Former Buffalo Broker, RAYMOND THOMAS CLARK, Sentenced to Prison
RAYMOND THOMAS CLARK (CRD#: 3120696), a former financial advisor from Amherst, New York, allegedly stole $870,000 from his clients. [...]