Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: WELLS FARGO CLEARING SERVICES, LLC (Respondent) The Claimant is a widow living in Pennsylvania.  The lawsuit claims that the Claimant maintained most of her funds in cash accounts at Wells Fargo bank and was referred to WELLS FARGO broker, Boris […]

Investors looking to recovery their losses in the Bernstein Options Advantage Strategy may now have a path to recover their losses. In 2017 Alliance Bernstein offered its clients a proprietary options investment fund that sought 2 percent returns net of fees. Many of the Bernstein advisors recommended that its clients borrow the investment funds on […]

Soreide Law Group is investigating possible investor claims against securities broker Teresa Watkins Douberly (also known as Sharlene Douberly) (CRD: 2477566, Boca Raton, Florida). Evidently, FINRA sanctioned the securities broker, who worked for Aegis Capital Corporation. Allegedly, Douberly failed to supervise. Here is a brief summary of FINRA’s allegations against Douberly. FINRA Suspends Teresa Douberly […]

Soreide Law Group is investigating possible investor claims against securities broker Lee Ray Diedrich (CRD: 2636095, Great Falls, Montana). Evidently, FINRA sanctioned the securities broker, who worked for Pruco Securities LLC. Allegedly, Diedrich committed forgery. Here is a brief summary of FINRA’s allegations against Diedrich. FINRA Suspends Lee Diedrich For Forgery Evidently, on November 16, […]

Soreide Law Group is investigating possible investor claims against securities broker Michael Girard Deluca (also known as Mike Deluca) (CRD: 4428054, Beaver Falls, Pennsylvania). Evidently, FINRA sanctioned the securities broker, who worked for Fortune Financial Services Inc. Allegedly, Deluca failed to supervise. Here is a brief summary of FINRA’s allegations against Deluca. Deluca Suspended By […]

According to FINRA’s BrokerCheck, ANDREW DAVID BUSCH (Andrew D Busch), a former broker with THRIVENT MANAGEMENT, INC. of Detroit Lakes, Minnesota, was discharged in April of 2023 from Thrivent following the allegations of, “The RRs (registered representative’s) association with the Firm was terminated for misrepresenting to the Firm the authenticity of customer signatures on a […]

Soreide Law Group is investigating possible investor claims against securities broker Tyler Dean Delahunt (CRD: 4419594, Atlanta, Georgia). Evidently, FINRA sanctioned the securities broker, who worked for Merrill Lynch Pierce Fenner Smith Incorporated. Allegedly, Delahunt failed to provide information and documents to FINRA when it conducted an investigation. Here is a brief summary of FINRA’s […]

Soreide Law Group is investigating possible investor claims against securities broker Thomas Jacob Ciolek (CRD: 2314551, Franklinville, New York). Evidently, FINRA sanctioned the securities broker, who worked for LPL Financial LLC. Allegedly, Ciolek failed to testify when FINRA investigated him. Here is a brief summary of FINRA’s allegations against Ciolek. Ciolek Barred By FINRA For […]

Soreide Law Group is investigating possible investor claims against securities broker Eddy C. Chou (CRD: 4685418, San Francisco, California). Evidently, FINRA sanctioned the securities broker, who worked for Ameriprise Financial Services LLC. Allegedly, Chou failed to respond to FINRA’s request for information. Here is a brief summary of FINRA’s allegations against Chou. FINRA Bars Chou […]