Investors have come forward with complaints about securities broker John Woods (CRD: 1949233, Atlanta, Georgia). Notably, the securities broker, who worked for Oppenheimer Co. Inc., disclosed client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Namely, Oppenheimer Co. Inc. clients allege that Woods acted unethically and breached a fiduciary duty, among other things. For more […]

Soreide Law Group is looking into possible investor claims against securities broker Scott Curtis Wilson (CRD: 861144, 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 Morgan Stanley. Evidently, investors allege sales practice violations in these disputes, including that […]

Soreide Law Group has learned of possible investor claims against securities broker Christine Anne Warner (also known as Christine Anne Schneider) (CRD: 4001584, Mount Pleasant, Texas). Particularly, FINRA sanctioned the securities broker, who worked for Monticello Financial Group LLC. Allegedly, Warner failed to supervise registered representatives. Here is a brief summary of FINRA’s allegations against […]

Soreide Law Group has been contacted by investors regarding the broker/financial advisor currently with PEACHCAP SECURITIES INC. of Serenbe, Georgia, JOHN R MATEYKO. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, JOHN R MATEYKO, has been listed in the securities industry for 19 years and has been listed with 10 firms.  He […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Francis Joseph Velten Jr. (also known as Frank Velten) (CRD: 2291911, New Port Richey, Florida). Not only has FINRA sanctioned Velten for failing to comply with a FINRA investigation into possible violations of FINRA rules, but investors disputed his sales practices. However, Velten […]

FINRA reports important information about securities broker Robert Earl Turner Jr. (CRD: 2113736, Waco, Texas). Not only has FINRA sanctioned Turner for engaging in private securities transactions, but investors disputed the sales practices of the securities broker. However, Turner denies the allegations. Read on to learn more about the allegations against Turner. FINRA Sanctions Turner […]

Soreide Law Group is looking into possible investor claims against securities broker Desiderio Eloy Torrez (CRD: 4759218, San Diego, California). Particularly, FINRA sanctioned the securities broker, who worked for PFS Investments Inc. Allegedly, Torrez failed to cooperate with FINRA during its investigation into possible violations of FINRA rules. Here is a brief summary of FINRA’s […]

Soreide Law Group has learned of possible investor claims against securities broker Cory Tinsley (CRD: 4434244, Rochester, New York). Particularly, FINRA sanctioned the securities broker, who worked for Farmers Financial Solutions LLC. Allegedly, Tinsley failed to respond to FINRA’s request for information. Not only that, but Farmers Financial Solutions terminated his registration. Here is a […]

Soreide Law Group is looking into possible investor claims against securities broker Juan Carlos Sosa (CRD: 4059846, Studio City, California. Evidently, Sagepoint Financial Inc. permitted Sosa to resign amid allegations of his misconduct. Here is a brief summary of Sagepoint Financial Inc.’s allegations against Sosa as well as a summary of Sagepoint investor disputes. Sagepoint […]