The Financial Industry Regulatory Authority (FINRA) reports allegations of sales practice violations by securities broker Francisco Javier Valenzuela [CRD #: 2786970, Tucson, AZ]. Valenzuela worked for Morgan Stanley from 2015-2018; (2) Merrill Lynch Pierce Fenner & Smith from 2010-2015; and (3) Chase Investment Services Corp from 2005-2010. Evidently, a Morgan Stanley investor disputed Valenzuela’s sales […]

The Financial Industry Regulatory Authority (FINRA) reports allegations of sales practice violations by securities broker Camille Cordova [CRD #: 6734084, Glendale, CA]. Cordova worked for NYLife Securities LLC from 2019-2022 and AXA Advisors LLC from 2007-2019. Evidently, an Equitable Advisors investor disputed Cordova’s sales practices. Additionally, the securities broker discloses a regulatory action resulting in […]

Investors have come forward with complaints about securities broker Alan Zelig Appelbaum [CRD #: 500336, Boca Raton, Florida]. Appelbaum worked for (1) Aegis Capital Corp from 2015-2021; (2) Herbert J. Sims & Co from 2002-2015; and (3) Ryan Beck & Co LLC from 2002-2002. Evidently, the securities broker discloses Aegis Capital Corp investor disputes on […]

The Financial Industry Regulatory Authority (FINRA) reports allegations of sales practice violations by securities broker Steven Kiyoto Hirata [CRD #: 1188927, Fresno, CA]. Hirata worked for PFS Investments Inc. from 2010-2021 and PFS Investments Inc. from 1984-2009. Notably, FINRA barred the securities broker. Read on to learn more about the allegations against him. FINRA Sanctions […]

Soreide Law Group is investigating possible investor claims against securities broker Allen H. Wilson [CRD #: 2420229, Florham Park, NJ]. Wilson worked for Wells Fargo Clearing Services Inc. from 2012-Present; (2) Stifel Nicolaus & Company from 2007-2012. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that a Wells Fargo client disputed Wilson’s sales practices. Also, […]

FINRA BrokerCheck contains important information concerning securities broker Manuel Fernandez AKA Manny Fernandez [CRD#: 3079976, Coral Gables, FL]. Fernandez has worked for (1) Truist Advisory Services Inc. since 2016; (2) Truist Investment Services Inc. since 2003; and (3) SunTrust Investment Services Inc. from 2003 to 2016. Evidently, the securities broker discloses SunTrust investor disputes on […]

David A. Noyes Investors have come forward with complaints about securities broker Scott Thomas Wolfrum [CRD #: 2187550, Indianapolis, IN]. Wolfrum worked for (1) Huntleigh Securities Corporation from 2018-2019; (2) David Noyes & Company from 2013-2018; and Wells Fargo Advisors from 2011-2013. Here’s more on the investor disputes reported on Financial Industry Regulatory Authority (FINRA) […]

Soreide Law Group is investigating possible investor claims against securities broker Jimmy Yang Driggers AKA Jimmy Driggers [CRD #: 1359593, Sarasota, FL]. Driggers worked for (1) Morgan Stanley from 2009-2021; (2) Morgan Stanley & Co. Inc. from 2008-2009; and (3) UBS Financial Services from 1996-2008. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that Morgan […]

Soreide Law Group comes to you with important information regarding William Forrest Winchester AKA Bill Woods [CRD #: 4404327, Chattanooga, TN]. Woods worked for (1) Cadaret, Grant, & Co from 2020-2021; (2) Raymond James Financial Services from 2012-2020; and (3) LPL Financial LLC from 2007-2012. Evidently, the securities broker discloses one or more investor disputes […]