Soreide Law Group is investigating possible investor claims against Patrick Thomas Gilbride (CRD: 1216940, Brooklyn, New York). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Edward Jones. Evidently, one or more investors alleged misconduct in these disputes, including that Gilbride failed to […]

Investors have come forward with complaints about securities broker Michael Joseph Distler (also known as Mike Distler) (CRD: 6130680, Crystal City, Missouri). Evidently, the securities broker, who worked for National Planning Corporation, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, National Planning Corporation clients allege that Distler made unsuitable recommendations, breached a […]

Soreide Law Group is investigating possible investor claims against Michael James Thaler (CRD: 2557899, Henrico, Virginia). Evidently, Commonwealth of Virginia is investigating the securities broker, who worked for Cambridge Investment Research Inc. Supposedly, Thaler possibly was the subject of a client complaint. Here is a brief summary of Commonwealth of Virginia’s allegations against Thaler. Commonwealth […]

Soreide Law Group is investigating possible investor claims against Mei Xia Guo (also known as Grace Guo) (CRD: 4201624, Monterey Park, California). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Cetera Investment Services LLC. Notably, one or more investors alleged misconduct in […]

Soreide Law Group is investigating possible investor claims against Louis Wargo (CRD: 1416101, Brecksville, Ohio). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for FSC Securities Corporation. Evidently, one or more investors alleged misconduct in these disputes, including that Wargo made unsuitable recommendations, […]

Soreide Law Group is investigating possible investor claims against Lisa Maria Idlett (CRD: 2932198, Carteret, New Jersey). Notably, FINRA sanctioned the securities broker, who worked for Wells Fargo Clearing Services LLC. Allegedly, Ilett failed to timely comply with an investigation into possible violations of FINRA rules. Here is a brief summary of FINRA’s allegations against […]

Soreide Law Group, based in South Florida, is currently investigating investor claims regarding the broker/investment advisor, CHUCK A ROBERTS of Miami Beach, Florida.  Roberts has been a registered representative of STIFEL, NICOLAUS & COMPANY of New York, New York, and Miami, Florida, since 2016. He currently is the Managing Director/Investments, according to the Stifel website. […]

Investors have come forward with complaints about securities broker Lawrence Charles Barrett (also known as Lawrence Barrett DiBartolomeo) (CRD: 13429, Orange Village, Ohio). Notably, the securities broker, who worked for Lincoln Financial Advisors Corporation, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Lincoln Financial Advisors Corporation clients allege that Barrett provided unsuitable […]

On July 19, 2023, the Financial Industry Regulatory Authority (FINRA) barred JOHN CHARLES JACOBSEN (JOHN C JACOBSEN), formerly with Morgan Stanley of Little Falls, New Jersey.  According to the FINRA report, Jacobson was allegedly terminated over revenue sharing with another representative. Without admitting or denying FINRA’s findings, JOHN C JACOBSEN consented to the sanction and […]