Soreide Law Group is currently investigating broker/financial advisor, WILLIAM ROBERT YOUNG (BILL YOUNG, CRD#: 4787488), currently registered with KINGSWOOD CAPITAL PARTNERS, LLC of Rockville, Maryland.  We have received calls from clients of Bill Young, who have suffered losses after purchasing GWG L bonds. Many broker/dealers may have recommended GWG L bonds without advising clients of […]

Securities Broker Gary Begnaud (Merrill Lynch) Involved In Investor Complaint The Financial Industry Regulatory Authority (FINRA) reports new information in regard to securities broker Gary Begnaud (CRD#: 865927, Mount Laurel, New Jersey). Evidently, Begnaud worked for Merrill Lynch (1982 to 2020) as a securities broker and financial advisor. He joined Janney Montgomery Scott in 2020. […]

Broker David Stateman Barred And Subject Of Client Dispute Soreide Law Group has new information to share with you in regard to securities broker David Alan Stateman (CRD#: 5530638, Miami, Florida). It appears that FINRA indefinitely barred Stateman as a securities broker. Not only that, but Stateman is involved in an investor dispute that alleges […]

There are many investors who have lost significant amounts of their investments in Northstar Financial (Bermuda) Ltd. (Northstar Bermuda) due to the recommendations of their brokers/financial advisors.  There has been some updates regarding Northstar Bermuda’s liquidation. Currently they have divided up the various accounts into different groups: Investors or policyholders holding variable investments. Investors or […]

Securities Broker Wil Rodriguez Involved In Wells Fargo Client's Dispute About Alleged Unauthorized Transactions Soreide Law Group comes to you with new information concerning Wells Fargo securities broker Rodriguez AKA “Wil Rodriquez” and “Wilfredo Rodriguez Jr.” (CRD# 2504369, Boca Raton, Florida). The Financial Industry Regulatory Authority (FINRA) BrokerCheck profile on Rodriguez shows that two investors […]

Broker Steven Maher Sanctioned, Involved In Investor Dispute Financial Industry Regulatory Authority (FINRA) discloses through BrokerCheck that it sanctioned securities broker Steven Maher (CRD#: 1011535, Oradell, New Jersey) and that an investor disputed Maher’s sales practices. Evidently, Maher worked for securities firms American General Securities Incorporated, Sagepoint Financial, and Next Financial Group. He joined American […]

According to a recent article in FinancialAdvisorIQ, the Financial Industry Regulatory Authority (FINRA)  has censured and fined National Securities Corp, a broker/dealer firm, over its alleged handling of private offerings. The FINRA letter of acceptance, waiver and consent (AWC) alleges that in December of 2017 and January of 2018, National Securities Corp (NSC) allegedly sold […]

Investor Dispute Concerns Securities Broker Sandra White (Cetera Advisor Networks) Evidently, the Financial Industry Regulatory Authority (FINRA) contains important investor dispute disclosures and a regulatory action disclosure on the record of securities broker Sandra Lee White (CRD#: 805113, Houston, Texas). It appears that White worked for securities firms Hall Flake Associates and Cetera Advisor Networks […]

Securities Broker Wills Henriquez Sanctioned And Involved In Investor Disputes Soreide Law Group comes to you with new information regarding securities broker Henriquez (CRD#: 1872198, Brooklyn, New York). Wills Schneider Henriquez worked for Network 1 Financial Securities from 2013 to 2018. During that time, Henriquez worked with a client who later complained. Other disputes on […]