Investors complained about securities broker Chad Edward Allen (CRD: 2712784, New York, New York). 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 Allen made misrepresentations and unsuitable recommendations, among other sales practice violations. For more on […]

According to FINRA’s BrokerCheck, on April 6, 2023, WILLIAM FORREST WINCHESTER III (William Winchester III) was barred by FINRA for allegedly borrowing money from clients and concealing the loans from compliance officers. Without admitting or denying FINRA’s findings, William Winchester III consented to the sanction and to the entry of findings that he allegedly borrowed […]

Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: CETERA INVESTMENT SERVICES LLC(Respondent) The Claimant lives in South Carolina and is in her 60s.  The Claimant maintained investment accounts with Cetera and its Financial Advisor, AUSTIN H FOX. The lawsuit alleges that the Claimant was introduced to Cetera’s former […]

According to a recent article in Financial Advisor IQ, Raymond James & Associates is being sued by three former clients.  These clients claim that they suffered losses due to their advisor’s unauthorized trades in oil and gas. The lawsuit, filed in Louisiana, is the latest in a series of lawsuits alleging unauthorized trading by former […]

Soreide Law Group has filed a FINRA arbitration on behalf of our clients (Claimants) against: CITIZENS SECURITIES, INC. (Respondent) The Claimants are both 78 years old, retired and living in New York. The Claimants are long standing banking customers of Citizens Bank where they maintained savings accounts and CD’s with the bank. The lawsuit alleges […]

Soreide Law Group is investigating possible investor claims against William Novack (also known as Bill Novack) (CRD: 1181334, Monticello, Indiana). Evidently, FINRA sanctioned the securities broker, who worked for CFD Investments Inc. and Cambridge Investment Research Inc. Allegedly, Novack failed to testify when FINRA investigated the securities broker for possible FINRA rule violations. Here is […]

Investors have come forward with complaints about William Huthnance (also known as William Word Huthnance) (CRD: 4326519, Houston, Texas). Particularly, the securities broker, who worked for UBS Financial Services Inc., discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, UBS Financial Services Inc. clients allege that Huthnance made unsuitable recommendations and made misrepresentations […]

Recently, the Financial Advisor Magazine has reported on the troubling charges against Surage Roshan Perera, who is the founder of Janues Capital Inc. and lives in Bellerose, Queens. Surage Perera was charged with fraud by the U.S. Attorney’s Office for the Eastern District of New York and the Federal Bureau of Investigation. This troubling news was […]

Soreide Law Group is investigating possible investor claims against Wenru Liang (also known as Wenru Liang) (CRD: 5157279, Columbia, Maryland). Evidently, FINRA sanctioned the securities broker, who worked for Transamerica Financial Advisors Inc. Here is a brief summary of FINRA’s allegations against Liang. FINRA Sanctions Wenru Liang Particularly, on February 12, 2021, FINRA issued Case: […]