FINRA BrokerCheck shows regulatory sanctions and investor claims concerning Robert C. David Jr. [CRD: 5211223, Farmington Hills, Michigan]. Evidently, he worked for Morgan Stanley from June 1, 2009, to April 2, 2019. Notably, the sanctions concern allegations of falsifying information and overconcentrating investor accounts in risky products. Also, investor disputes center around allegations of misrepresentation […]

Soreide Law Group is looking into potential claims on behalf of investors who incurred losses due to Henry Jihua Liu [CRD: 2428803, Melville, New York]. Evidently, Liu joined Aegis Capital Corp in March 2011 as a securities broker and financial advisor. He has faced investor accusations such as unsuitable investment recommendations. For more detailed information […]

Investors in New York Community Bancorp (NYCB) are nursing bruised portfolios after the bank's stock price imploded by a record 38% on January 31st, 2024. This dramatic fall followed a disappointing earnings report, revealing a surprise loss and a drastic 71% cut in the bank's previously attractive dividend. While all shareholders felt the sting, those holding the bank's preferred stock […]

Soreide Law Group is investigating potential claims for investors who have sustained losses attributed to Steven Andrew Hill (also known as Andy Hill) [CRD: 4606358, Atwater, California]. Hill has been registered with Wells Fargo Clearing Services LLC since January 3, 2011. He faces several investor allegations, including misrepresentation and unauthorized investments. By reading further, you'll […]

FINRA BrokerCheck shows that investors filed disputes about Joseph Comiskey Jr. [CRD: 2760646, Ronkonkoma, New York]. His previous employers include Spartan Capital Securities LLC and K.C. Ward Financial. Notably, investor allegations against Comiskey include misrepresentation and breach of fiduciary duty. Below is an overview of the disclosures involving the securities broker. Misrepresentation And Breach Of […]

FINRA BrokerCheck shows that PFS Investments Inc. clients disputed the sales practices of Jeremiah Roman [CRD: 6321876, Coral Springs, Florida]. Evidently, Roman worked for PFS Investments Inc. from June 27, 2014, to October 27, 2021. Below, investors can find more information about the disclosures concerning Jeremiah Roman's conduct. PFS Investments Inc. Client Alleged Breach Of […]

Securities broker Lilia Nia [CRD: 6018019, Fairfield, New Jersey], who worked for Purshe Kaplan Sterling Investments from 2013 to 2021, discloses regulatory sanctions and investor disputes on FINRA BrokerCheck. Read on to learn more about these disclosures. Suspension Imposed By New Jersey Bureau Of Securities On January 15, 2023, the New Jersey Bureau of Securities […]

Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: OPPENHEIMER & CO., INC. (Respondent) The Claimant is retired and living in South Florida. The lawsuit alleges that the Claimant advised the Respondent and its Financial Advisor, E. Matthew Steinberg (Matthew Steinberg), that he wanted to safely generate retirement income. […]

Soreide Law Group explains investor claims concerning Lickhai Quach [CRD: 2804704, Rockville, Maryland] reported on FINRA BrokerCheck. Evidently, Quach worked for Transamerica Financial Advisors Inc. from January 6, 2012, to March 10, 2023. Notably, FINRA barred the broker, and investors filed disputes alleging sales practice violations. Here’s more on those disclosures. FINRA Claims Failure To […]