Soreide Law Group is investigating possible investor claims against Daniel Richard Hajduk (CRD: 830330, Mount Prospect, Illinois). Notably, FINRA sanctioned the securities broker, who worked for Coordinated Capital Securities Inc. Allegedly, Hajduk failed to testify when FINRA carried out an investigation. Here is a brief summary of FINRA’s allegations against Hajduk. FINRA Bars Daniel Hajduk […]

Investors have come forward with complaints about securities broker Daniel Jay Sherman (CRD: 2136218, New York, New York). Notably, the securities broker, who worked for Morgan Stanley Smith Barney LLC, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Morgan Stanley Smith Barney LLC clients allege that Sherman made unsuitable recommendations. For more […]

Investors have come forward with complaints about securities broker Corey Jon Engelhard (CRD: 2788550, Plantation, Florida). Evidently, the securities broker, who worked for Morgan Stanley, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Morgan Stanley clients allege that Engelhard made unsuitable recommendations. For more on these disclosures about Engelhard, see below. Engelhard […]

Soreide Law Group is investigating possible investor claims against Conrad Aaron Coggeshall (CRD: 4383687, Scottsdale, Arizona). Evidently, SEC obtained a judgment against the securities broker, who worked for Packerland Brokerage Services Inc. Here is a brief summary of the allegations against Coggeshall. Coggeshall Evidently, on December 19, 2022, a court issued Judgment No. 2:19-cv-05667 sanctioning […]

Soreide Law Group is investigating possible investor claims against Caz Craffy (also known as Carz Levinski Craffey) (CRD: 5222223, Point Pleasant Beach, New Jersey). Evidently, New Jersey Bureau of Securities sanctioned the securities broker, who worked for Monmouth Capital Management LLC. Allegedly, Craffy was the subject of a regulatory enforcement action resulting in sanctions. Here […]

Soreide Law Group is investigating possible investor claims against Brad Richard Small (CRD: 3173556, Reading, Pennsylvania). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for American Portfolios Financial Services Inc. Evidently, one or more investors alleged misconduct in these disputes, including that Small […]

Soreide Law Group is investigating possible investor claims against Gustavo Santos Miramontes (CRD: 2338966, Los Angeles, California) and his sale of Mullen Automotive Inc. (NASDAQ: MULN), among other securities. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Oppenheimer Co. Inc. Not only […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Anthony Baker Liddle (also known as Tony Liddle) (CRD: 5478479, Oshkosh, Wisconsin). Not only has he been sentenced to eight years in prison for committing a scam, but SEC filed an enforcement or civil action against Liddle and investors disputed hia sales practices. […]

Soreide Law Group is investigating possible investor claims against Abbe Jan Wollins (CRD: 5237027, Boca Raton, Florida). Notably, FINRA sanctioned the securities broker, who worked for David Lerner Associates Inc. Allegedly, Wolins made unsuitable recommendations. Here is a brief summary of FINRA’s allegations against Wolins. Wollins Sanctioned By FINRA For Unsuitable Recommendations Evidently, on June […]