The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker John Charles Barnes (CRD:  862738, Naples, FL). Not only has FINRA sanctioned Barnes for unauthorized trading, but investors disputed the sales practices of the securities broker. However, Barnes denies the allegations. Read on to learn more about the allegations against Barnes. FINRA Issues […]

Soreide Law Group is investigating possible investor claims against securities broker Vincent Keith Annable (CRD: 1033573, Nashville, TN). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Center Street Securities Inc. Evidently, one or more investors alleged that Annable made unsuitable recommendations and […]

Soreide Law Group has filed a FINRA arbitration on behalf of their client (Claimant) against: RAYMOND JAMES & ASSOCIATES, INC., and their registered representative, RAYMOND SARDINA (Respondents). The Claimant is in his late sixties and resides in Venezuela. The Claimant’s previous broker had left RAYMOND JAMES and he was assigned to RAYMOND SARDINA. According to […]

Soreide Law Group is investigating possible investor claims against securities broker Timothy Williams [CRD: 6341465, Tucson, Arizona]. Notably, FINRA sanctioned the securities broker, who worked for Edward Jones. Allegedly, Williams failed to respond to FINRA’s request for information. Here is a brief summary of FINRA’s allegations against Williams. Williams Barred By FINRA For Failure To […]

Soreide Law Group is investigating possible investor claims against securities broker Eric Willer [CRD: 2263899, Irving, Texas]. Notably, FINRA sanctioned the securities broker, who worked for Fusion Analytics Securities LLC. Allegedly, Willer made unsuitable recommendations. Here is a brief summary of FINRA’s allegations against Willer. FINRA Sanctions Fusion Analytics Securities LLC Securities Broker For Unsuitable […]

Investors have come forward with complaints about securities broker Jon Vinge [CRD: 4445831, Seattle, Washington]. Evidently, the securities broker, who worked for Intervest International Equities Corporation, disclosed client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Intervest International Equities Corporation clients allege breach of fiduciary duty, unsuitability, and misrepresentation, among other things. For more […]

Soreide Law Group is investigating possible investor claims against securities broker Brandon Tatarevich [CRD: 4694264, Fort Worth, Texas]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for J.P. Morgan Securities LLC. For example, clients alleged unsuitable recommendations. Here is a brief summary of […]

Investors have come forward with complaints about securities broker Clara Chen Tang [CRD: 4852979, Cupertino, California]. Evidently, the securities broker, who worked for Cetera Investment Services LLC, disclosed client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Cetera Investment Services LLC clients allege unsuitable recommendations, breach of fiduciary duty, among other things. For more […]

Soreide Law Group is investigating possible investor claims against securities broker Stephen Christopher Tadlock (also known as Chris Tadlock) [CRD: 5746664, Houston, Texas]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Ameriprise Financial Services LLC. For example, clients alleged unsuitable recommendations. Here […]