According to FINRA’s BrokerCheck, available to the public on FINRA’s website, BETSY LOU WHIPPLE (Betsy Whipple), a broker/financial advisor with Newbridge Securities Corporation of Hiko, Nevada, has had three “Customer Disputes” listed on her FINRA CRD report. Whipple has been registered with Newbridge Securities Corporation in Hiko, Nevada since March of 2018. She has been […]

According to FINRA’s BrokerCheck, available to the public on FINRA’s website, ANTHONY TRICARICO, formerly with Aegis Capital Corp. of New York, NY, has been subject to 3 “Customer Disputes” and three “Regulatory” issues.  Tricarico has been in the securities industry for 37 years and was listed as a broker with 12 firms. He was with […]

The Financial Industry Regulatory Authority (FINRA) has barred ROBERT EARL TURNER JR (ROBERT E TURNER JR), a former broker/financial advisor from UBS FINANCIAL SERVICES, INC., of Waco, Texas. According to a recent article in Financial Advisor IQ, Turner allegedly convinced at least 30 clients to invest a total of more than $7.2 million in private […]

In a recent article from the Wausau Pilot & Review, ANTHONY BAKER LIDDLE (ANTHONY B LIDDLE, TONY LIDDLE), a former Wisconsin broker/investment advisor, was charged by the US Department of Justice with defrauding clients out of approximately $1.9 million.  Liddle is facing federal prison, after criminal charges were filed against him last week. One day […]

Investors have come forward with complaints about securities broker Cheryl Young (also known as Cheryl Lynn Young and Cheryl Lynn Sitze) (CRD:  3065471, Incline Village, NV). Evidently, the securities broker, who worked for Morgan Stanley, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Morgan Stanley and Ameriprise Financial Services clients allege that […]

Soreide Law Group is investigating possible investor claims against securities broker Chip Wodrich (also known as Charles William Wodrich) (CRD:  2715728, Goodyear, AZ). Evidently, Hornor Townsend Kent LLC terminated the securities broker for cause, and investors filed disputes about him. Allegedly, Wodrich engaged in unauthorized trading and made unauthorized communications with clients regarding securities business. […]

Soreide Law Group is investigating possible investor claims against securities broker Polly Stoecklein (also known as Polly Marie Stoecklein and Polly Marie Ison) (CRD:  1041896, Manhattan, KS). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Independent Advisor Alliance. Evidently, one or more […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker John Anthony Sommo (CRD:  3141638, New Haven, CT). Evidently, investors disputed the sales practices of the securities broker, who worked for UBS Financial Services Inc. Additionally, the securities broker discloses a regulatory enforcement action. However, Sommo denies the allegations of sales practice violations. […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Philip Smith (also known as Phillip Norris Smith) (CRD:  2833891, New York, NY). Evidently, investors disputed the sales practices of the securities broker, who worked for Equitable Advisors LLC. Additionally, the securities broker discloses a regulatory enforcement action. Notably, these disclosures allege Smith […]