The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Russ Kory (CRD:  5901185, White Plains, NY). Not only has FINRA sanctioned Kory for unsuitable recommendations, but investors disputed the sales practices of the securities broker. However, Kory denies the allegations. Read on to learn more about the allegations against Kory. Russ Kory […]

Soreide Law Group is investigating possible investor claims against securities broker Bradley Stephen Kavanagh (CRD:  5784000, Baton Rouge, LA). Evidently, FINRA sanctioned the securities broker, who worked for Park Avenue Securities LLC. Allegedly, Kavanagh did not submit information and documents to FINRA when it investigated potential FINRA rule violations. Here is a brief summary of […]

Soreide Law Group is investigating possible investor claims against securities broker Ivar Norman Jones Jr. (CRD:  2729076, San Francisco, CA). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Ameritas Investment Company LLC. Here is a brief summary of the disclosures about Jones. […]

Investors have come forward with complaints about securities broker Marc Jacob Jacobson (CRD:  1908557, Northbrook, IL). Evidently, the securities broker, who worked for Sagepoint Financial Inc., discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Sagepoint Financial Inc. clients allege that Jacobson made misrepresentations. For more on these disclosures about Jacobson, see below; […]

Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: CETERA INVESTMENT SERVICES, LLC, and their registered representative, THOMAS DAVID BRUNT (THOMAS D BRUNT) Respondents. The Claimant is retired and living in Tennessee.  The Claimant and his wife were looking for conservative investments to sustain them through retirement. He had […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Zach Hansen (also known as Zachary Hansen) (CRD:  5553180, Denver, CO). Not only has FINRA sanctioned Hansen for False Records Or Books, but investors disputed the sales practices of the securities broker. However, Hansen denies the allegations. Read on to learn more about […]

Soreide Law Group is investigating possible investor claims against securities broker Brent Devon Hablutzel (CRD:  4749339, Greenwood Village, CO). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Merrill Lynch Pierce Fenner Smith Incorporated. Evidently, one or more investors alleged that Hablutzel engaged […]

Investors have come forward with complaints about securities broker Emilio Guajardo Jr. (CRD:  4871764, The Woodlands, TX). Evidently, the securities broker, who worked for BBT Securities LLC, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, BBT Securities LLC clients allege that Guajardo made misrepresentations. For more on these disclosures about Guajardo, see […]

Soreide Law Group is investigating possible investor claims against securities broker Andy Forrest (also known as Dallah Anderson Forrest Jr.) (CRD:  2224283, Greenville, SC). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Raymond James Associates Inc. Evidently, one or more investors alleged […]