Soreide Law Group is investigating possible investor claims against securities broker Jim Kent (also known as James Daniel Kent Jr.) [CRD: 2255753, Pinellas Park, FL]. Mainly, FINRA sanctioned the securities broker, who worked for Emerson Equity LLC. Allegedly, Kent failed to make regulatory disclosures. Also, investors filed disputes about the securities broker. Here is a […]

Soreide Law Group is investigating possible investor claims against securities broker Ian Lowrey (also known as Ian Phillip Lowrey) [CRD: 6367392, New York, NY]. Notably, FINRA punished the securities broker, who worked for Spartan Capital Securities LLC. Supposedly, Lowrey engaged in excessive trading. Here is a brief summary of FINRA’s allegations against Lowrey. Ian Lowrey […]

Soreide Law Group is investigating possible investor claims against securities broker Gregg Ferguson (also known as Howell Gregory Ferguson) [CRD: 4400990, Bellville, TX]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck disclosed that investors complained about the securities broker, who worked for LPL Financial LLC. Notably, investors allege sales practice violations in these disputes, including that […]

Soreide Law Group is investigating possible investor claims against securities broker Greg Hanshew (also known as Gregory Scott Hanshew) [CRD: 2624600, Littleton, CO]. Mainly, FINRA sanctioned the securities broker, who worked for Infinity Financial Services. Allegedly, Greg Hanshew failed to provide information and documents to FINRA when it investigated potential FINRA rule infractions. Here is […]

Soreide Law Group is investigating possible investor claims against securities broker Gaetano Ciambriello (also known as Gaetano Salvatore Ciambriello) [CRD: 6948879, New York, NY]. Mainly, FINRA sanctioned the securities broker, who worked for Citigroup Global Markets Inc. Allegedly, Ciambriello failed to testify when FINRA investigated the securities broker for potential FINRA rule violations. Here is […]

Soreide Law Group is investigating possible investor claims against securities broker Frank Cid (also known as Francis Cid) [CRD: 2897738, Plainview, NY]. Notably, FINRA sanctioned the securities broker, who worked for CBC Securities Inc. Allegedly, Frank Cid failed to turn over information and documents to FINRA when it investigated potential rule infractions. Here is a […]

Soreide Law Group has filed a FINRA arbitration on behalf of their client (Claimant) against: EMERSON EQUITY, LLC, and their registered representative, TONY BAROUTI. (Respondents) The Claimant is a retiree living in California who was looking for conservative investments that could generate a stable income to sustain him through retirement without any risk of loss […]

Soreide Law Group is investigating possible investor claims against securities broker Rett Ellis (also known as Everett Bryant Ellis) [CRD: 4046494, Gulf Breeze, FL]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck disclosed that investors complained about the securities broker, who worked for BBVA Securities Inc. Here is a brief summary of the disclosures about Rett […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Dusty Veitenheimer (also known as Dusty Lynn Sternadel) [CRD: 5872600, Wichita Falls, TX]. Notably, investors complained about the securities broker, who worked for Ameriprise Financial Services LLC. Additionally, the securities broker disclosed a regulatory enforcement action. However, Veitenheimer denies the allegations of sales […]