Soreide Law Group is investigating possible investor claims against securities broker Christopher William Porter [CRD: 1911339, Yalesville, Connecticut]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Madison Avenue Securities LLC. For example, clients alleged unsuitable recommendations. Here is a brief summary of […]

Investors have come forward with complaints about securities broker Joseph Lawrence Peggs (also known as Larry Peggs) [CRD: 1219721, Seminole, Florida]. Evidently, the securities broker, who worked for Ameriprise Financial Services LLC, disclosed client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. For more on these disclosures about Peggs, see below. Estate Accuses Joseph Peggs […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Christopher Passero [CRD: 2517681, Hurricane, West Virginia]. Evidently, investors disputed the sales practices of the securities broker, who worked for Money Concepts Capital Corp. Additionally, the securities broker disclosed a regulatory enforcement action. Read on to learn more about the allegations against Passero. […]

Soreide Law Group is investigating possible investor claims against securities broker Matthew Karle Panke (also known as Matt Panke) [CRD: 2227976, Clayton, Missouri]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Charles Schwab Co. Inc. Here is a brief summary of the […]

Investors have come forward with complaints about securities broker Katherine Greer Nishnic (also known as Katherine Greer Martinson and Katherine Diane Nishnic) [CRD: 2499553, Lexington, South Carolina]. Evidently, the securities broker, who worked for J.P. Turner Company LLC and Centaurus Financial Inc., disclosed client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. For more on […]

Soreide Law Group is investigating possible investor claims against securities broker Doan Nguyen [CRD: 6554242, Vancouver, BC]. Notably, FINRA sanctioned the securities broker, who worked for Raymond James (USA) Ltd. Allegedly, Nguyen failed to provide information and documents to FINRA when it investigated possible violations of FINRA rules. Here is a brief summary of FINRA’s […]

Soreide Law Group is investigating possible investor claims against securities broker Jorge Antonio Netto [CRD: 2432661, Miami, Florida]. Notably, FINRA sanctioned the securities broker, who worked for Boreal Capital Securities LLC. Allegedly, Netto engaged in an undisclosed outside business activity. Here is a brief summary of FINRA’s allegations against Netto. Boreal Capital Securities LLC Securities […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Claudio Gambin Neto (also known as Claudio Gambin) [CRD: 5752180, Orlando, Florida]. Evidently, investors disputed the sales practices of the securities broker, who worked for Northwestern Mutual Investment Services LLC. Additionally, the securities broker disclosed a regulatory enforcement action. Read on to learn […]

Soreide Law Group is investigating possible investor claims against securities broker Jason Murphy [CRD: 4521914, Oxford, Michigan]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for CCO Investment Services Corp. For example, clients alleged unsuitable recommendations. Here is a brief summary of the […]