Did you invest through securities broker Tim Vorpahl (also known as Timothy James Vorpahl) [CRD#: 1457312, Spokane, Washington]? Evidently, Vorpahl joined Vorpahl Wing Securities Inc. in 1999. FINRA sanctioned him for his failure to supervise. FINRA Sanctioned Vorpahl For Failure To Supervise And Inadequate Procedures Particularly, on March 11, 2022, FINRA issued Case: 2020065149802 sanctioning […]

The Financial Industry Regulatory Authority (FINRA) permanently barred Christopher Booth Kennedy (Chris B. Kennedy, Chris Kennedy), previously listed with Western International Securities in Woodland Hills, California (12/02/2019 - 09/27/2021), for allegedly engaging in churning and excessive trading in the accounts of six clients between July of 2020 and July of 2021, according to the FINRA […]

Soreide Law Group is currently investigating potential claims on behalf of investors who have sustained financial losses involving securities broker and financial advisor, Tammie Lyn Farrell (also known as Tammie Lyn Brown, Tammie Lyn Burk, and Tammie Burk Farrell) [CRD#: 2475931, Franklin, North Carolina]. Tammie Farrell is registered both as a securities broker with Capital […]

Soreide Law Group is currently investigating potential claims on behalf of investors who have suffered losses involving financial advisor and securities broker, Sevag Raffi Haddadian [CRD#: 3249290, Brea, California]. Haddadian worked for Wells Fargo Clearing Services LLC from January 13, 2022, to July 7, 2022, and Morgan Stanley from June 1, 2009, to January 27, […]

Soreide Law Group is actively investigating claims on behalf of individuals who have suffered financial losses due to the actions of Sean Pong, also known as Syany Pong [CRD#: 2406530, Los Alamitos, California]. Sean Pong's professional background includes a tenure at U.S. Bancorp Investments Inc., where he was registered from October 19, 2012, to September […]

Soreide Law Group is looking into investor claims concerning Sean Donovan Casterline [CRD#: 2212919, Orlando, Florida]. Evidently, Casterline worked for Delta Securities Company LLC (2018 to 2022). He worked for International Assets Advisory LLC (2017 to 2017). The broker disclosed a FINRA sanction on December 30, 2021, for alleged private securities transactions. FINRA Sanctioned Casterline […]

Soreide Law Group is currently conducting an investigation into the activities of Ryan Scott Mallow (also known as Ryan Mallow) [CRD#: 2420445, Jacksonville, Florida], a previously registered broker and financial advisor. Mallow worked with Fidelity Brokerage Services LLC in Jacksonville, Florida, from June 28, 2010, to June 2, 2023. He was previously affiliated with Stratton […]

Soreide Law Group is currently investigating potential claims on behalf of investors who may have suffered losses due to the actions of securities broker Ronald Leonard Whittingham (also known as Ron Whittingham) [CRD#: 4175525, Chicago, Illinois]. Whittingham joined Cetera Advisors LLC on February 28, 2019. Prior to his current registration, he worked for LPL Financial […]

Soreide Law Group is currently examining potential claims on behalf of investors who have incurred financial losses due to the actions of securities broker and financial advisor, Rogerio T. Almeida (Rogerio T. De Almeida Filho) [CRD: 7083841, Orange City, Florida]. Almeida worked with Edward Jones from May 11, 2019, to September 7, 2022. The Financial […]