Soreide Law Group is investigating possible investor claims against securities broker Alexander Steven Batt [CRD#: 2967019, Vero Beach, Florida]. Specifically, FINRA BrokerCheck discloses that investors disputed the sales practices of the securities broker. Evidently, he worked for Merrill Lynch Pierce Fenner Smith Incorporated. Supposedly, one or more clients allege sales practice violations in these disputes. […]

Soreide Law Group is investigating possible investor claims against securities broker Michael Ovitt [CRD#: 1012040, Williamsville, New York]. Specifically, FINRA BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for firms including Wells Fargo Advisors. Evidently, one or more clients allege sales practice violations in these disputes, including unauthorized transactions. […]

JEFFREY T KENNEDY (Jeff Kennedy CRD#: 5094149) currently registered with Center Street Securities of Quincy, Illinois, has received a “Customer Dispute” listed on his FINRA CRD report, July 12, 2022, according to FINRA’s BrokerCheck.  The allegations of the complaint are as follows, “Client alleges that the registered representative recommended unsuitable investments.”  The damages requested are […]

Investors have come forward with complaints about securities broker Stephen Paul Courtney [CRD#: 1141394, Pasadena, California]. Evidently, the securities broker, who worked for Stifel Nicolaus Co., discloses investor disputes on FINRA BrokerCheck. Notably, one or more clients allege omissions, misrepresentations, unsuitable transactions, and negligence. For more on these disclosures about Courtney, see below. However, please […]

FINRA reports important information regarding securities broker Roger Allan Duval [CRD#: 2503718, Bellevue, Washington]. Not only has FINRA sanctioned Duval, but one or more investors disputed the sales practices of the securities broker at Pruco Securities and MML Investors Services. However, Duval denies the allegations. Read on to learn more. FINRA Bars Duval For Conversion […]

Investors have come forward with complaints about securities broker James Tracy Stines [CRD#: 1175075, Richmond, Virginia]. Evidently, the securities broker, who worked for BBT Securities, discloses investor disputes on FINRA BrokerCheck. For more on these disclosures about Stines, see below. BBT Securities Client Accuses James Stines Of Failing To Follow Instructions Evidently, on March 11, […]

Investors have come forward with complaints about securities broker Hillary Wertlieb [CRD#: 2239224, Lynbrook, New York]. Evidently, the securities broker, who worked for Cetera Advisors and Investors Capital Corp, discloses investor disputes on FINRA BrokerCheck. Specifically, one or more investors allege breach of fiduciary duty, negligence, and breach of contract. For more on these disclosures […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Jody Bryant Bowers (CRD#: 4798818, Abilene, Texas). Namely, two clients disputed the sales practices of the securities broker, who worked for Sagepoint Financial Inc. from 2012 to 2014 and Lowell & Company Inc. from April 2014 to June 2018. Here’s more on the […]

Soreide Law Group comes to you with new information regarding securities broker Neil David Berlant (CRD#: 19550, Los Angeles, California). Namely, FINRA sanctioned the securities broker, who worked for D.A. Davidson & Co. (DADCO) between November 2013 and June 2020. Also, his employer discharged him in May 2020, and a client complained about his sales […]