Investors have come forward with complaints about securities broker Sean Sullivan AKA Sean T. Sullivan [CRD#: 6283466, Melville, NY]. Evidently, the securities broker, who worked for Aegis Capital Corp., discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Aegis Capital Corp. clients allege that Sullivan made unauthorized transactions. For more on these disclosures […]

Investors have come forward with complaints about securities broker Elliot Sherer AKA Elliot Hough Sherer [CRD#: 15007, Melville, NY]. Evidently, the securities broker, who worked for Aegis Capital Corp., discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Aegis Capital Corp. clients allege that Sherer breached a fiduciary duty, was negligent, made misrepresentations, […]

Soreide Law Group is investigating possible investor claims against securities broker Jason Seurer AKA Jason Edward Seurer [CRD#: 2541616, Maple Plain, MN]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Landolt Securities. Notably, investors allege sales practice violations in these disputes, including […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Brian Roth AKA Brian Robert Roth [CRD#: 4607595, Morristown, NJ]. Evidently, investors disputed the sales practices of the securities broker, who worked for Newbridge Securities Corporation. Additionally, the securities broker discloses a regulatory enforcement action. However, Roth denies the allegations of sales practice […]

Soreide Law Group is investigating possible investor claims against securities broker Anthony Pitta AKA Anthony John Pitta [CRD#: 1958029, Melville, NY]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Capital Investment Group. Notably, investors allege sales practice violations in these disputes, including […]

Investors have come forward with complaints about securities broker Loren Morrison AKA Loren Justin Morrison [CRD#: 4578161, Southfield, MI]. Evidently, the securities broker, who worked for Stifel Nicolaus Company Incorporated, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Stifel Nicolaus Company Incorporated clients allege that Morrison was negligent, breached a contract, breached […]

Soreide Law Group is investigating possible investor claims against securities broker Mei Guo AKA Mei Xia Guo [CRD#: 4201624, Monterey Park, CA]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Cetera Investment Services. Notably, investors allege sales practice violations in these disputes, […]

Investors have come forward with complaints about securities broker William Gamble [CRD#: 1524488, Hollywood, FL]. Evidently, the securities broker, who worked for Wells Fargo Clearing Services, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Wells Fargo Clearing Services clients allege that Gamble made unauthorized transactions. For more on these disclosures about Gamble, […]

Investors have come forward with complaints about securities broker Scot Barringer AKA Scott Barringer [CRD#: 1385168, Denver, CO]. Notably, the securities broker, who worked for Westpark Capital, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Supposedly, Westpark Capital clients allege that Barringer made misrepresentations and unsuitable transactions. For more on these disclosures about […]