ANGEL AQUINO-VELEZ Losses?
ANGEL AQUINO-VELEZ Losses? The Financial Industry Regulatory Authority (FINRA) reports troubling allegations of sales practice violations being committed by [...]
David Manor Suspended by FINRA
DAVID MANOR (CRD#: 6033220), formerly with Wells Fargo Clearing Services, LLC of Boston, was suspended by the Financial Industry [...]
NEWBRIDGE, BRUCE JORDAN Censured By FINRA
NEWBRIDGE, BRUCE JORDAN Censured By FINRA The Financial Industry Regulatory Authority (“FNIRA”) levied sanctions against Newbridge Securities Corporation (CRD#: [...]
Customer Complaints About DANILO FUENTES
DANILO FUENTES Losses? Investors are contesting the sales practices of Dawson James Securities registered representative Danilo Fuentes (CRD#: 2596044, [...]
Newbridge Securities Corp Censured and Fined
The Boca Raton, Florida-based, Newbridge Securities Corp, has been censured and fined $225,000 by the Financial Industry Regulatory Authority [...]
Lightstone Real Estate Income Trust, Inc. Losses?
Soreide Law Group (888-760-6552) has filed claims on behalf of investors who have losses in Lightstone Real Estate Income [...]
Andrew Corbman Allegedly Misrepresented Equities
ANDREW CORBMAN Allegedly Misrepresented Equities Clients of Newbridge Securities Corporation and Kovack Securities filed an alarming amount of disputes [...]
ROBERT CAVANAGH (Bob Holt) Losses?
ROBERT CAVANAGH Sell You Bad Investments? Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports disconcerting allegations of sales [...]
STUART PEARL Make Trades Without Your Consent?
STUART PEARL Make Trades Without Your Consent? Soreide Law Group is reviewing possible investor claims including unauthorized trading against [...]
Chris Kubiak to Prison for $370K Theft from Elderly
Chris Raymond Kubiak (Chris Kubiak) (CRD#: 1527367), a former financial advisor with Calton & Associates, Inc. of Brookfield, Wisconsin [...]
KEITH WAKEFIELD Barred By FINRA
IFS' Keith Wakefield Barred By FINRA The Financial Industry Regulatory Authority (“FINRA”) announced that expelled IFS securities broker Keith [...]
STEPHEN WOLFERMAN Losses?
STEPHEN WOLFERMAN Losses? The Financial Industry Regulatory Authority (“FINRA”) reports troubling allegations of investors getting bad advice from securities [...]
BRADLEY RENBERG Allegedly Gave Poor Advice
Bradley Renberg Allegedly Poorly Advised Clients And Made Unauthorized Trades Soreide Law Group is reviewing possible investor claims against [...]
JIM FLYNN Sell You Bad REITs or DPPs?
Broker James "Jim" Flynn Allegedly Sells Unsuitable Alternative Investments A number of investors have come forward with formal disputes [...]
RICHARD REYNOLDS Allegedly Churns Account
Broker Richard Reynolds Allegedly Churns Worden Capital Management Client’s Account Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports [...]
National Law Enforcement Museum Bond Loss
The National Law Enforcement Museum defaulted on a January 1, 2019 payment due on some of the $103 million [...]
Investor Complaints About BRANDON STIMPSON
10 Customer Disputes About Broker Brandon Stimpson The Financial Industry Regulatory Authority (“FINRA”) reports alarming allegations of harmful conduct [...]
Jim Flynn Accused of Targeting Elderly Clients
JAMES TRAVIS FLYNN (JIM FLYNN) CRD#: 3082615, a former South Carolina broker, is accused of targeting elderly clients who [...]
THOMAS STAPPAS Barred By FINRA
TOMAS STAPPAS Barred By FINRA The Financial Industry Regulatory Authority (“FINRA”) announced on September 13, 2019 that it barred [...]
JOHN WYSHAK Allegedly Made Unauthorized Trades
Raymond James' John Wyshak Allegedly Makes Unauthorized Trades In Client Accounts Soreide Law Group is reviewing possible investor claims [...]