The Financial Industry Regulatory Authority (FINRA) BrokerCheck report on Lisa Ann Brumm, aka Lisa Ann Moon (CRD#: 2834764, Portland, Oregon), contains two investor disputes and a regulatory action. Supposedly, the investor disputes from 2017-2019 concern Brumm's registrations at AXA Advisors, who is now known as Equitable Advisors. The regulatory action, which FINRA brought in 2021, […]

The Pompano Beach based law firm, Soreide Law Group, has filed a lawsuit in the Financial Industry Regulatory Authority “FINRA” Arbitration forum Against PFS Investments, Inc., “PFS” and their former Financial Advisor Jerry Roman for Mr. Roman recommending to PFS customers to invest in MJ Capital Funding. PFS stands for Primerica Financial Services. The Pompano […]

Soreide Law Group is reviewing potential investor disputes concerning securities broker Christopher Neil Watkins (CRD#: 4456445, Louisville, Kentucky). Namely, Watkins joined LPL Financial in 2011 as both a financial advisor and securities broker. He joined Silver Oaks Securities in December 2018 and Magnate Advisory Services in March 2019. Notably, LPL Financial disaffiliated with Watkins in […]

The Financial Industry Regulatory Authority (FINRA) contains important information regarding securities broker Bradley S. Lay, who is also known as Brad Lay (CRD#: 4633746, Franklin, Tennessee). Evidently, Lay is listed on BrokerCheck as having worked for Raymond James as a securities broker and financial advisor (2013 to 2019) and SA Stone Wealth Management as a […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows important information about securities broker Robert Hayes Hoffmann (CRD#: 4008798, Indianapolis, Indiana). Evidently, Hoffmann worked for securities firms Robert W. Baird & Co. Incorporated, Northwestern Mutual Investment Services, LLC, Woodbury Financial Services, Inc., and Thurston, Springer, Miller, Herd & Titak, Inc. Notably, at least 4 investors complained about […]

Soreide Law Group is investigating potential investor disputes pertaining to securities broker Vincent Leonard Petrangelo (CRD#: 2866580, Springfield, Massachusetts). Evidently, Petrangelo worked for securities firms NYLife Securities, Morgan Stanley, Raymond James & Associates (2006 to 2018 as both financial advisor and securities broker), and Ameriprise Financial Services (2018 to present). Notably, six investors disputed Petrangelo's […]

Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: LPL FINANCIAL, LLC, and their registered representative,   Frederick W Arbusto (“Arbusto”) (Respondents).   The lawsuit alleges that the Claimant, who was a long time customer of LPL broker, Frederick W Arbusto, wanted their newly deposited money to generate bond […]

Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: ARQUE CAPITAL, LTD., and their former registered representative, RONALD LEE MCLEOD (Respondents). The Claimant was a retired resident of Florida who was looking for conservative investments that could generate stable income to sustain her through retirement without any risk of […]

ERIC SHEA HOLLIFIELD (ERIC S HOLLIFIELD CRD#: 3091319) formerly with LPL Financial of Dacula, Georgia, was permanently barred by the Financial Industry Regulatory Authority (FINRA) on October 7, 2021, following the allegations of, “Without admitting or denying the findings, Hollifield consented to the sanction and to the entry of findings that he refused to appear […]