Soreide Law Group is investigating possible investor claims against securities broker Daniel Lee Bicket (also known as Dan Bicket) [CRD: 1366026, Reinbeck, Iowa]. Notably, FINRA sanctioned the securities broker, who worked for Northwestern Mutual Investment Services LLC. Allegedly, Bicket failed to testify during an investigation into possible FINRA rule violations. Here is a brief summary […]

Soreide Law Group is investigating possible investor claims against securities broker Sanjay Bhargava [CRD: 4495397, La Vista, Nebraska]. Notably, Maryland sanctioned the securities broker, who worked for Regulus Financial Group LLC. Here is a brief summary of Maryland’s allegations against Bhargava. Maryland Sanctions Regulus Financial Group LLC Securities Broker For Prior Regulatory Enforcement Action Particularly, […]

Soreide Law Group is investigating possible investor claims against securities broker Bruce C. Amman [CRD: 2130243, Denver, Colorado]. Notably, FINRA sanctioned the securities broker, who worked for LPL Financial LLC. Allegedly, Amman engaged in private securities transactions. Here is a brief summary of FINRA’s allegations against Amman. FINRA Sanctions LPL Financial LLC Broker Bruce Amman […]

Investors have come forward with complaints about securities broker Shirley Wong AKA Shirley Ank Wong [CRD#: 4869184, Daly City, CA]. Evidently, the securities broker, who worked for Ni Advisors, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Ni Advisors clients allege that Wong made misrepresentations, breached a contract, failed to supervise, and […]

Soreide Law Group is investigating possible investor claims against securities broker John Ulwick AKA  John Kennedy Ulwick [CRD#: 1758865, Waltham, MA]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Lincoln Financial Advisors Corporation. Notably, investors allege sales practice violations in these disputes, […]

Investors have come forward with complaints about securities broker Sean Sullivan AKA Sean T. Sullivan [CRD#: 6283466, Melville, NY]. Evidently, the securities broker, who worked for Aegis Capital Corp., discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Aegis Capital Corp. clients allege that Sullivan made unauthorized transactions. For more on these disclosures […]

Investors have come forward with complaints about securities broker Elliot Sherer AKA Elliot Hough Sherer [CRD#: 15007, Melville, NY]. Evidently, the securities broker, who worked for Aegis Capital Corp., discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Aegis Capital Corp. clients allege that Sherer breached a fiduciary duty, was negligent, made misrepresentations, […]

Soreide Law Group is investigating possible investor claims against securities broker Jason Seurer AKA Jason Edward Seurer [CRD#: 2541616, Maple Plain, MN]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Landolt Securities. Notably, investors allege sales practice violations in these disputes, including […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Brian Roth AKA Brian Robert Roth [CRD#: 4607595, Morristown, NJ]. Evidently, investors disputed the sales practices of the securities broker, who worked for Newbridge Securities Corporation. Additionally, the securities broker discloses a regulatory enforcement action. However, Roth denies the allegations of sales practice […]