Soreide Law Group is investigating possible investor claims against securities broker Bobby Sullins (CRD: 4173425, Pell City, Alabama). Notably, FINRA sanctioned the securities broker, who worked for BBT Securities LLC. Allegedly, Sullins failed to respond to FINRA’s request for information. Here is a brief summary of FINRA’s allegations against Sullins. FINRA Sanctions Sullins For Failure […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Eric Stone (CRD: 5227654, Jacksonville, Florida). Not only has FINRA sanctioned Stone for failing to testify when FINRA investigated him for potential FINRA rule violations regarding client loans, but investors disputed his sales practices. However, Stone denies the allegations. Read on to learn […]

Soreide Law Group is investigating possible investor claims against securities broker Chris Stocks (CRD: 2600346, Scottsdale, Arizona). Evidently, Morgan Stanley terminated the securities broker for cause. Here is a brief summary of the allegations against Stocks. Morgan Stanley Disaffiliates With Stocks For Outside Business Activities Supposedly, on November 11, 2021, Morgan Stanley disaffiliated with Stocks. […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Jason Nicholas Slezak (CRD: 2423323, Antioch, Illinois). Evidently, investors disputed the sales practices of the securities broker, who worked for Landolt Securities Inc. Additionally, the securities broker discloses a regulatory enforcement action. However, Slezak denies the allegations of misconduct Read on to learn […]

MARK ALLEN BREWER, a broker/financial advisor from Wells Fargo Clearing Services, LLC of Riverside, California has been suspended by FINRA for 45 days for allegedly designating his friend as beneficiary of a client account. Brewer also was fined $5,000 by FINRA. Without admitting or denying FINRA’s findings, MARK ALLEN BREWER consented to the sanctions and […]

Soreide Law Group is investigating possible investor claims against securities broker Matthew Shaughnessy (CRD: 2457058, Henderson, Nevada). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Ameriprise Financial Services LLC. Evidently, investors allege sales practice violations in these disputes, including that Shaughnessy engaged […]

Investors have come forward with complaints about securities broker John Rochester (CRD: 2128760, Santa Fe, New Mexico). Evidently, the securities broker, who worked for Morgan Stanley, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Morgan Stanley clients allege that Rochester breached a fiduciary duty, made misrepresentations, made unsuitable recommendations, failed to perform […]

The Financial Industry Regulatory Authority (FINRA) has barred Christopher J Carpenter, a former Major League Baseball pitcher who became a financial advisor, formerly with LPL Financial in Charlotte, North Carolina, from the industry for allegedly failing to provide information relating to an investigation of unauthorized real estate investments, according to a recent article in Barron’s. […]

Investors have come forward with complaints about securities broker Thomas Michael Rauchegger (CRD: 5156496, Maitland, Florida). Evidently, the securities broker, who worked for Kalos Capital Inc., discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Kalos Capital Inc. clients allege that Rauchegger made unsuitable recommendations. For more on these disclosures about Rauchegger, see […]