Some investors have potentially experienced damages because of securities broker Michael Harvey Hamilton [CRD: 2263524, Leawood, Kansas], according to investor dispute disclosures on the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Hamilton has worked for UBS Financial Services Inc. since April 25, 2008. Continue reading to learn more about Hamilton's disclosures. UBS Financial Services Inc. […]

Soreide Law Group is reviewing potential investor claims on behalf of individuals who incurred losses from securities broker Melissa Plotkin Spickler (also known as Melissa P. Plotkin, Melissa P. Plotkins, and Melissa Plotkinspickler) [CRD: 719397, Bloomfield Hills, Michigan]. Notably, Spickler has worked for Merrill Lynch Pierce Fenner Smith Incorporated as both a broker and a […]

The Financial Industry Regulatory Authority (FINRA) has fined, JEFFREY WAYNE DAVIDSON (Jeffrey W Davidson) $15,000 and suspended him for 21 months from associating with any FINRA member in all capacities beginning 2/19/2024 and ending 11/18/2025. Davidson was accused of raising over $10 million for a fitness company he owns without receiving written approval from this […]

FINRA issued sanctions to Malay Kumar [CRD: 2482909, Mason, Ohio], according to a regulatory action the regulator brought late last year. Notably, Kumar worked as a financial advisor and broker, with his last employment at Cambridge Investment Research Inc. in Mason, Ohio, from January 10, 2018, to December 21, 2021. Here’s more on FINRA’s sanctions […]

Investors might have sustained losses due to John Lawrence Abrams (also known as Jack Abrams) [CRD: 2795856, Boca Raton, Florida], according to disclosures on the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Abrams was previously registered as a financial advisor and securities broker, with employment at Equitable Advisors LLC in Boca Raton, FL from November […]

Soreide Law Group is looking into possible investor claims on behalf of those who incurred losses through securities broker John Jay Kersey [CRD: 1480524, Cincinnati, Ohio]. Notably, Kersey worked for Northwestern Mutual Investment Services LLC from June 8, 2001, to June 23, 2023. Here’s more on the FINRA sanctions against Kersey and investor disputes involving […]

Soreide Law Group is reviewing potential investor claims on behalf of individuals who incurred losses from securities broker Joao Amorim Pinto [CRD: 6298233, New York, New York]. Pinto has worked for Spartan Capital Securities LLC since October 22, 2019. Read below to learn more about Pinto’s disclosures, which include FINRA sanctions and an investment dispute. […]

Investors potentially experienced investment losses through securities broker Jeffrey Allen Russell (also known as Jeffrey Russell and Jeffrey Russell) [CRD: 2516610, Newport Beach, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Russell was previously registered with Morgan Stanley from May 19, 2010, to June 16, 2021. To understand more about Russell's […]

Some investors have potentially experienced damages because of securities broker Forrest Addington Wester (also known as Forrest Wester) [CRD: 2559502, Midland, Texas], according to regulatory sanctions and investor disputes disclosed on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Wester was previously registered as a financial advisor and securities broker, with his last registration at Wells […]