MERCER HICKS Complaint Filed
MERCER HICKS (MERCER HICKS III, TOBY MERCER HICKS III, TOBY HICKS III) CRD# 245170, was recently named in a [...]
KURT STEIN Misrepresentation Disputes
Investor Suggests National Securities Corp's Kurt Stein Misrepresented Investments Soreide Law Group is reviewing possible investor claims against securities [...]
FINRA Suspends MICHAEL HURTGEN
FINRA Suspends Raymond James Broker Michael Hurtgen For Selling Away Investor Alert! Evidently, the Financial Industry Regulatory Authority (“FINRA”) [...]
Northstar Healthcare REIT Sold by LPL FINANCIAL
Soreide Law Group has filed a FINRA arbitration on behalf of their client (Claimant) against: LPL FINANCIAL LLC (Respondent). [...]
JACQUIN FINK Possibly Gave Bad Advice
Merrill Lynch Clients Take Aim At Broker Jacquin Fink Over Allegedly Unsuitable Trading Investor Alert! FINRA BrokerCheck shows that [...]
LPL FINANCIAL LLC Lawsuit Filed
Soreide Law Group has filed a FINRA arbitration on behalf of their client (Claimant) against, LPL FINANCIAL LLC (Respondent). [...]
RAANA KHAN Private Placement Losses?
Windsor Street's Raana Khan Allegedly Made Unsuitable Sales Of Private Placements Soreide Law Group is reviewing possible investor claims [...]
Misrepresentation Disputes Concerning MATT BALTZ
Broker Matt Baltz Possibly Misrepresented Annuities Investors have come forward with complaints and disputes in regard to securities representative [...]
DICK SLADEK Allegedly Misrepresented Investments
Merrill Lynch's Dick Sladek Referenced In Misrepresentation Disputes Soreide Law Group is reviewing possible claims of sales practice violations [...]
Investors Dispute ANIL JETHMAL’s Trading
Newbridge Broker Anil Jethmal Allegedly Made Unsuitable Trades The Financial Industry Regulatory Authority (“FINRA”) reports that 6 investors took [...]
RAMONE KNIGHT Barred By FINRA
NYLife Broker Ramone Knight Barred For Conversion On October 29, 2019, the Financial Industry Regulatory Authority (“FINRA”) sanctioned NYLife [...]
Suitability Disputes Against PAUL PEREZ
Morgan Stanley's Paul Perez Allegedly Made Unsuitable Stock Trades Soreide Law Group has come across troubling information relating to [...]
EVAN WUHL Purportedly Gave Bad Stock Advice
Broker Evan Wuhl Involved In Customer Disputes Alleging Suitability FINRA reports a 17th disclosure on the record of Wells [...]
Investors Dispute KIRK BADII’s Advice
UBS Broker Kirk Badii Allegedly Made Unsuitable Recommendations The Financial Industry Regulatory Authority (“FINRA”) shows new red flags relating [...]
SHLOMO STRUGANO Allegedly Sold Bad REITs
Broker Shlomo Stugano Involved In Unsuitability, Unauthorized Trading Disputes Soreide Law Group is evaluating possible investor disputes against Kovack [...]
DOUGLAS LEONE Churning Disputes
Salomon Whitney Financial Broker Douglas Leone Allegedly Churned Accounts Investors continue to make accusations of sales practice violations against [...]
FRANK MASTROSIMONE GPB Losses?
Did Broker Frank Mastrosimone Sell You GPB Funds? It appears from publicly available sources that Royal Alliance Associates, Inc. [...]
GREG GIBSON GPB Losses?
Dempsey Lord Smith Broker Greg Gibson Possibly Made Unsuitable Recommendations Dempsey Lord Smith, LLC securities broker Greg Gibson (CRD#: [...]
MURRAY ROARK Allegedly Sold Bad Stocks
Investors Challenge Sales Practices Of Murray Roark Soreide Law Group is reviewing possible investor claims against B. Riley Wealth [...]
Chelsea Financial Services Fails To Supervise
FINRA Issues Fine, Censure To Chelsea Financial Services For Failure To Supervise The Financial Industry Regulatory Authority (“FINRA”) dealt [...]