Soreide Law Group is investigating possible investor claims against securities broker Kyle Zachary Wittgren (CRD: 6221630, Frisco, Texas). Evidently, Minnesota sanctioned the securities broker, who worked for NYLife Securities LLC. Allegedly, Wittgren made misrepresentations and falsified client information. Here is a brief summary of Minnesota’s allegations against Wittgren. Minnesota Bars Wittgren For Misrepresentation Particularly, on […]

Soreide Law Group is investigating possible investor claims against securities broker Vincent Maley Weir (CRD: 3118881, Houston, Texas). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Wells Fargo Clearing Services LLC. Supposedly, one or more individuals claim that Weir made unsuitable recommendations. […]

Investors have come forward with complaints about Timothy Allen Thelen (also known as Tim Thelen) (CRD: 1924966, Scottsdale, Arizona). Evidently, the securities broker, who worked for Aeon Capital Inc., discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Particularly, Aeon Capital Inc. clients allege that Thelen breached a contract, breached a fiduciary duty, was […]

Soreide Law Group is investigating possible investor claims against securities broker Patrick Keith Sloan (also known as Sloan Patrick) (CRD: 6466410, Kewanee, Illinois). Evidently, FINRA sanctioned the securities broker, who worked for LPL Financial LLC. Allegedly, Sloan falsified client information. Here is a brief summary of FINRA’s allegations against Sloan. Patrick Sloan Sanctioned By FINRA […]

Soreide Law Group is investigating possible investor claims against securities broker Theodore M. Serure (CRD: 419023, New York, New York). Evidently, FINRA sanctioned the securities broker, who worked for Jefferies LLC. Allegedly, Serure borrowed client funds in violation of FINRA rules. Here is a brief summary of FINRA’s allegations against Serure. FINRA Suspends Theodore Serure […]

Investors have come forward with complaints about Valentino Michael Scott (CRD: 1497615, West Hills, California). Evidently, the securities broker, who worked for Centaurus Financial Inc., discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Particularly, Centaurus Financial Inc. clients allege that Scott made misrepresentations and mismanaged investment accounts. For more on these disclosures about […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Avi Elliot Schottenstein (CRD: 5708665, New York, New York). Not only has Illinois moved for sanctions against Schottenstein, but one or more investors disputed the sales practices of the securities broker. However, Schottenstein denies the allegations. Read on to learn more about the […]

Soreide Law Group is investigating possible investor claims against securities broker Ellen Gayle Reynard (CRD: 6148906, Beaumont, Texas). Evidently, FINRA sanctioned the securities broker, who worked for Raymond James Financial Services Inc. Allegedly, Reynard falsified client information. Here is a brief summary of FINRA’s allegations against Reynard. FINRA Suspends Reynard For False Client Information Particularly, […]

FINRA sanctioned securities broker Maria Pia Acevez Perez (CRD: 2981386, Miami, Florida). Evidently, the securities broker, who worked for VectorGlobal WMG, disclosed a regulatory action on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Allegedly, Perez failed to comply with FINRA in a timely manner concerning an investigation. For more about this regulatory action against Reese, see […]