Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Leslie Ann Lauer [CRD: 2941432, Columbus, Ohio]. Evidently, Lauer worked for UBS Financial Services Inc. from May 2, 2006, to August 29, 2023, before joining RBC Capital Markets LLC in Atlanta, Georgia, on August 18, 2023. Keep reading to learn more about the client […]

Soreide Law Group has filed a FINRA arbitration on behalf of their client (Claimant) against: NEWBRIDGE SECURITIES CORPORATION The Claimant is in his seventies and lives in North Carolina. On or about 2018, the Claimant received a phone call from his firm that his previous broker was no longer with the firm and Jack B […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Kyle Mostransky [CRD: 4763425, Huntington, New York]. Mostransky has worked for NYLIFE Securities LLC in Huntington, New York, since January 5, 2012. Evidently, he has faced client disputes regarding his conduct in the securities industry. Continue reading to learn more about the allegations and […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker / financial advisor Kurt Allen Berry [CRD: 4550773, Elizabethton, Tennessee]. Berry worked for Vanderbilt Securities LLC from November 1, 2019, to July 7, 2022, and Regulus Advisors LLC from October 5, 2016, to November 6, 2019. Recently, Berry has faced sanctions and a client […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Karen Irene Schmidt (also known as Karen Irene Dry, Karen Irene Scher, and Karen Irene Moore) [CRD: 5669963, Woodland Hills, California]. Schmidt joined Northwestern Mutual Investment Services LLC (NMIS) on August 11, 2010. Recent investor claims about her involve allegations related to her recommendations. […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Karen Degro [CRD: 5048237, Boca Raton, Florida]. Evidently, Karen Degro worked for UBS Financial Services Inc. from April 27, 2016, to October 3, 2023, and works for Herbert J. Sims Co. Inc. as of September 22, 2023. Degro has been involved in client disputes […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Jordan Stentiford [CRD: 6946439, Ridgeland, Mississippi]. Stentiford worked for Northwestern Mutual Investment Services LLC from February 24, 2020, to November 29, 2023. Here’s more on a FINRA investigation that resulted in Stentiford being barred as a securities broker. FINRA Barred Jordan Stentiford For Refusing […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Jonathan Micheal Gervaise [CRD: 5492872, Radnor, Pennsylvania]. Gervaise worked for Lincoln Financial Distributors Inc. from September 9, 2019, to April 1, 2022, and also worked for Pruco Securities LLC and Jackson National Life Distributors LLC in the years following. His recent history, however, includes […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker / financial advisor John Norman Doiron [CRD: 5305305, Toano, Virginia]. Doiron has worked for Cabot Lodge Securities LLC since 2013 and CL Wealth Management LLC since 2012. Keep reading to learn about the client disputes related to Doiron’s handling of private placements, including GWG […]