Investors might have sustained losses because of securities broker Matthew Kenneth Wilkes [CRD: 5409004, Knoxville, Tennessee], according to disclosures on FINRA BrokerCheck. Evidently, Wilkes worked for TrustFirst in Knoxville, TN, from April 4, 2019, to October 30, 2023, FSIC in Chicago, IL, from June 21, 2017, to September 12, 2018, and Raymond James Financial Services […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Mark Edward Rippeteau [CRD: 869993, Seattle, Washington], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Rippeteau worked for RBC Capital Markets LLC from March 2, 1998, to July 19, 2023. Keep reading to learn more […]

According to the US Attorney’s Office of the District of Massachusetts’ press release, Jose D Rocha, 38, of Bridgewater, Massachusetts, was sentenced by the US District Court Judge to two years in prison and three years of supervised release. The Court also entered an order of forfeiture for $774,737. In September of 2023, Jose Rocha […]

Investors might have sustained losses because of securities broker Luke Michael Johnson [CRD: 3257008, Scottsdale, Arizona]. Johnson worked for Coastal Equities Inc. from April 3, 2012, to December 13, 2019. Below, you'll find information about some investor disputes concerning Johnson. You'll also learn more about a recent FINRA case where the regulator sanctioned him for […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Lincoln Lucas Mason [CRD: 7057393, Arnolds Park, Iowa], given the disclosures on FINRA BrokerCheck. Evidently, Mason worked for Edward Jones from March 29, 2019, to December 23, 2021. Continue reading to learn more about Mason's disclosures. FINRA Sanctions […]

Investors might have sustained losses because of securities broker Lara Charltre [CRD: 5107119, Anchorage, Alaska], according to disclosures on FINRA BrokerCheck. Evidently, Lara Shogren worked for CUSO Financial Services LP from September 20, 2023, to the present, and previously with Key Investment Services LLC from October 14, 2015, to September 6, 2023. Continue reading to […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Keith Michael Curtis [CRD: 4798755, Tampa, Florida], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Keith Curtis worked for Aegis Capital Corp. from June 17, 2015, to January 3, 2022. Keep reading to learn more […]

Investors might have sustained losses because of securities broker John Stephen Pronovost [CRD: 1990612, Watertown, Connecticut], according to disclosures on FINRA BrokerCheck. Pronovost joined Osaic Institutions Inc. in Watertown, CT, both as an investment adviser and broker on February 26, 2021. Before this, he worked for Cambridge Investment Research Inc., and Cambridge Investment Research Advisors […]

Soreide Law Group is investigating potential investor claims of sales practice violations due to John Sebastion Cangialosi Jr. [CRD: 3273830, New York, New York], given the disclosures on FINRA BrokerCheck. Evidently, Cangialosi worked for SW Financial from December 10, 2019, to August 16, 2022, and for Worden Capital Management LLC from November 4, 2016, to […]