Soreide Law Group is investigating potential claims on behalf of investors who may have incurred losses due to the actions of Patrick Michael Mendenhall (CRD#: 1068809, Houston, Texas). Evidently, Mendenhall works with USCA Securities LLC since April 20, 2010, and with U.S. Capital Wealth Advisors LLC since June 30, 2021. Previously, he worked with USCA […]

Soreide Law Group is investigating potential claims on behalf of investors who may have suffered losses due to the actions of Jeffrey T. Kennedy [CRD: 5094149, Quincy, Illinois]. He was employed by Center Street Securities Inc. from March 10, 2010, to December 1, 2023. Notably, several clients have filed FINRA Arbitrations against Kennedy, citing unsuitable […]

Between February and April 2022 Morgan Stanley sold approximately 82% of its stock ownership in Bed Bath and Beyond (BBBY), or approximately 5,744,409 shares. Morgan Stanley has had a long standing ownership in the stock since it was one of the lead underwriters in BBBY bonds back in 2014 when BBBY sold the following bonds: 3.749% 2024 […]

Matthew T Mierzycki (Matthew Thomas Mierzycki, Matthew Mierzycki), a broker/financial advisor currently listed with Ameriprise Financial Services in Round Rock, Texas, was fined $10,000.00 and suspended for four months following accusations that he allegedly used discretionary authority in client accounts and failed to disclose credit compromises to his employers. Without admitting or denying FINRA’s findings, […]

Soreide Law Group is investigating potential claims on behalf of investors who may have suffered losses due to the actions of Richard Whitfield Brown [CRD: 1595628, Fort Myers, Florida]. Evidently, Brown has a history of employment with Summit Brokerage Services Inc. from May 2, 2003, to September 20, 2019, and more recently with Cetera Advisor […]

Joe David Gainer Jr, a former Wells Fargo of Marianna, Florida, broker/financial advisor, was barred by the Financial Industry Regulatory Authority (FINRA) over allegations that he accepted a $3 million gift from a client. Without admitting or denying FINRA’s findings, Joe David Gainer Jr consented to the sanction and to the entry of findings that […]

SARA YASMIN QAZI (SARA QAZI), a former Morgan Stanley of Beverly Hills, CA, broker/financial advisor, has been suspended for three months and fined $15,000, for allegedly participating in the sale of an outside investment without the firm’s approval.  Qazi was with Morgan Stanley from 09/21/2009 to 03/15/2021.  She is currently registered both as a broker […]

Soreide Law Group is currently investigating potential claims on behalf of investors who may have sustained losses due to securities broker and financial advisor, Yuting Cheng (Emily Cheng and Yu-Ting Cheng) [CRD#: 5719286, Arcadia, California]. Cheng has maintained registrations with Wells Fargo Clearing Services LLC since December 13, 2022. Other recent associations include BancWest Investment […]

Soreide Law Group is currently conducting an investigation into potential claims on behalf of investors who may have incurred financial losses involving securities broker and financial advisor, Wesley Howard Triani (also known as Wes Triani) [CRD#: 1025539, Hauppauge, New York]. Triani worked for Equity Services Inc. [CRD#: 265] from February 2003 to August 2023. Notably, […]