Soreide Law Group is looking into possible investor claims against securities broker Douglas Kaiser (also known as Doug Kaiser) (CRD: 1674570, Boca Raton, Florida). Particularly, FINRA sanctioned the securities broker, who worked for Westpark Capital Inc. Allegedly, Kaiser failed to supervise markdowns and markups at Westpark Capital Inc. Here is a brief summary of FINRA’s […]

Soreide Law Group is looking into possible investor claims against securities broker Cathie Ann Joughin (also known as Cathie Joughin Barnard) (CRD: 1044884, Bakersfield, California). Particularly, FINRA sanctioned the securities broker, who worked for Ameriprise Financial Services LLC. Allegedly, Joughin did not provide documents and information to FINRA during its investigation into possible violations of […]

Soreide Law Group is looking into possible investor claims against securities broker David William Jack (CRD: 2415526, Paramus, New Jersey). 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 Jack […]

FINRA reports important information about securities broker Kevin Andrew Hobbs (CRD: 4267482, Lake Worth, Florida). Not only has FINRA sanctioned Hobbs for inaccurate information during a FINRA investigation, but investors disputed the sales practices of the securities broker. Here’s more about the FINRA regulatory action and investor disputes on Hobbs’ record. Hobbs Sanctioned By FINRA […]

PAMELA SUE ESPINOSA (PAMELA ESPINOSA, PAMELA SUE DAVIS, PAMELA DEWEBER), a broker/financial advisor, currently with KESTRA INVESTMENT SERVICES, LLC and KESTRA ADVISORY SERVICES, LLC, of Albuquerque, New Mexico, since 2017, has a pending “Customer Dispute” listed on her FINRA CRD report dated January 25, 2023, alleging, “Claimant alleges Espinosa recommended unsuitable private investments in order […]

Soreide Law Group is investigating possible investor claims against securities broker Samuel Heavrin (CRD: 6996924, Denver, Colorado). Particularly, FINRA sanctioned the securities broker, who worked for JP Morgan Securities LLC. Allegedly, Heavrin failed to respond to FINRA’s request for information. Here is a brief summary of FINRA’s allegations against Heavrin. FINRA Sanctions Heavrin For Failure […]

Investors complained about securities broker Peter Lewis Goffin (CRD: 1617710, Boca Raton, Florida). Notably, the securities broker, who worked for Newbridge Securities Corporation, disclosed client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Namely, Newbridge Securities Corporation clients allege that Goffin breached a contract and fiduciary duty and provided unsuitable advice. For more on these […]

Derek J Rehill was suspended for two months by the Financial Industry Regulatory Authority (FINRA) for alleged issues related to documentation of telephone calls with clients. Rehill was  working with Joseph Stone Capital, LLC of Mineola, New York, at the time of the allegations. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, […]

Soreide Law Group is looking into possible investor claims against securities broker Jake Louis Fruge (CRD: 6187396, Houston, Texas). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for PFS Investments Inc. Evidently, investors allege sales practice violations in these disputes, including that Fruge […]