Soreide Law Group is investigating possible investor claims against securities broker Cindy Hanerhoff (also known as Cindy Leah Hanerhoff Dorbecker and Cindy H. Lara) [CRD: 1084549, Houston, Texas]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Sunbelt Securities Inc. Also, FINRA sanctioned […]

Soreide Law Group is investigating possible investor claims against securities broker Thomas Hallberg (also known as Tom Hallberg) [CRD: 3053755, Forest Lake, Minnesota]. Notably, FINRA sanctioned the securities broker, who worked for Edward Jones. Allegedly, Hallberg made discretionary trades. Here is a brief summary of FINRA’s allegations against Hallberg. FINRA Sanctions Edward Jones’ Thomas Hallberg […]

Soreide Law Group is investigating possible investor claims against securities broker Ricardo Guimaraes [CRD: 5442981, St. Louis, Missouri]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for UBS Financial Services Inc. Here is a brief summary of the disclosures about Guimaraes. Ricardo Guimaraes […]

Soreide Law Group is investigating possible investor claims against securities broker Matthew Gates (also known as Matt Gates) [CRD: 4727945, New York, New York]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Joseph Gunnar Co. LLC. Notably, investors allege unsuitable recommendations. Here […]

Investors have come forward with complaints about securities broker Jeffrey John Furniss [CRD: 4888498, Annapolis, Maryland]. Evidently, the securities broker, who worked for Lincoln Financial Advisors Corporation, disclosed client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Lincoln Financial Advisors Corporation clients allege that Furniss made unsuitable recommendations. For more on these disclosures about […]

Soreide Law Group is investigating possible investor claims against securities broker Peter James Fetherston [CRD: 2108610, Melville, New York]. Evidently, FINRA filed an enforcement or civil action against the securities broker, who worked for Principal Securities Inc. Allegedly, Fetherston converted funds. Here is a brief summary of FINRA’s allegations against Fetherston. FINRA Charges Peter Fetherston […]

Investors have come forward with complaints about securities broker Melissa Laura Cournyer (also known as Melissa Laura Ferguson) [CRD: 6244893, Chicago, Illinois]. Notably, the securities broker, who worked for Bankers Life Securities Inc., disclosed client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Bankers Life Securities Inc. clients allege that Cournyer made unsuitable recommendations. […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Janie Garza-Clark (also known as Janie Clark and Janie Garza) [CRD: 1010752, Scottsdale, Arizona]. Not only has FINRA sanctioned Clark for her failure to testify in an investigation, but investors disputed the sales practices of the securities broker. However, Clark denies the allegations. […]

Investors have come forward with complaints about securities broker Wenjinn Chang [CRD: 4536266, Rockville, Maryland]. Notably, the securities broker, who worked for Independent Financial Group LLC, disclosed client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Independent Financial Group LLC clients allege that Chang made unsuitable recommendations and overconcentrated accounts. For more on these […]