Soreide Law Group is investigating possible investor claims against Ivan Richard Gefen (CRD: 1229418, Boca Raton, Florida). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Newbridge Securities Corporation. Evidently, one or more investors alleged misconduct in these disputes, including that Gefen was […]

Soreide Law Group is investigating possible investor claims against Helen Grace Caldwell (also known as Helen Grace Corpuz) (CRD: 1957501, Chicago, Illinois). Notably, FINRA sanctioned the securities broker, who worked for Citigroup Global Markets Inc. Allegedly, Caldwell failed to testify when FINRA carried out an investigation. Here is a brief summary of FINRA’s allegations against […]

Soreide Law Group is investigating possible investor claims against Heath Gary Goldstein (CRD: 2147679, Clarks Summit, Pennsylvania). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Western International Securities Inc. Evidently, one or more investors alleged misconduct in these disputes, including that Goldstein […]

Soreide Law Group is investigating possible investor claims against Glennon James Cole (also known as Glen James Cole) (CRD: 1999588, Manchester, Missouri). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Moloney Securities Co. Inc. Notably, one or more investors alleged misconduct in […]

Investors have come forward with complaints about securities broker Gilbert Russell Conrad (CRD: 2746778, Lewiston, New York). Evidently, the securities broker, who worked for JP Turner Company LLC, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, JP Turner Company LLC clients allege that Conrad made unsuitable recommendations. For more on these disclosures […]

Soreide Law Group is investigating possible investor claims against Doug Marshall McKelvey (CRD: 4502849, Southlake, Texas). Evidently, DOJ and SEC filed legal actions against the securities broker, who worked for Morgan Stanley, alleging money laundering and misapproprpiation. Here is a brief summary of the allegations against McKelvey. McKelvey Pleaded Guilty For Violations Of Federal Laws […]

Soreide Law Group is investigating possible investor claims against David S. Wells (also known as David Sheldon Wells) (CRD: 6774493, Mount Prospect, Illinois). Evidently, DOJ and SEC filed against the securities broker, who worked for Fifth Third Securities Inc. Allegedly, Wells misappropriated funds, but the matters are ongoing and he denies the allegations. Here is […]

Soreide Law Group is investigating possible investor claims against David Cameron Monckton (CRD: 2252224, Columbia, South Carolina). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Voya Financial Advisors Inc. Evidently, one or more investors alleged misconduct in these disputes, including that Monckton […]

Soreide Law Group is investigating possible investor claims against Daniel William Sopher (also known as Daniel Williams Sopher) (CRD: 1254823, Metuchen, New Jersey). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Kestra Investment Services LLC. Evidently, one or more investors alleged misconduct […]