The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Adam Summers AKA Adam Petersen Summers [CRD#: 5587343, Frankfort, IL]. Also, investors disputed the sales practices of the securities broker, who worked for Wells Fargo Clearing Services. Additionally, the securities broker discloses a regulatory enforcement action. However, Summers denies the allegations of sales […]

Soreide Law Group is investigating possible investor claims against securities broker Jorge Sonville AKA Jorge Antonio Sonville [CRD#: 2558540, Miami, FL]. Notably, FINRA sanctioned the securities broker, who worked for Merrill Lynch Pierce Fenner Smith. Allegedly, Sonville loaned a client money. Here is a brief summary FINRA’s allegations against Sonville. FINRA Sanctions Merrill Lynch Pierce […]

Investors have come forward with complaints about securities broker Douglas Schmitz AKA Douglas Gene Schmitz [CRD#: 1771132, Fargo, ND]. Notably, the securities broker, who worked for Classic, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Classic clients allege that Schmitz committed sales practice violations. For more on these disclosures about Schmitz, see […]

Soreide Law Group is investigating possible investor claims against securities broker Yousuf Saljooki AKA Joe Saljooki and Joseph Saljooki [CRD#: 5045123, Melville, NY]. Evidently, FINRA sanctioned the securities broker, who worked for SW Financial. Allegedly, Saljooki failed to comply with an arbitration award or settlement agreement. Here is a brief summary FINRA’s allegations against Saljooki. […]

Soreide Law Group is investigating possible investor claims against securities broker Cynthia La Rosa AKA Cynthia Corriere [CRD#: 2459459, New York, NY]. Evidently, FINRA sanctioned the securities broker, who worked for Canaccord Genuity. Allegedly, La Rosa provided false or misleading information to FINRA investigators. Here is a brief summary FINRA’s allegations against La Rosa. FINRA […]

Soreide Law Group is investigating possible investor claims against securities broker Jonathan Rich AKA Jonathan Craig Rich [CRD#: 2271478, New York, NY]. Notably, FINRA sanctioned the securities broker, who worked for National Securities Corp. Allegedly, Rich failed to testify when FINRA investigated the stockbroker for possible violations of FINRA rules. Here is a brief summary […]

Soreide Law Group is investigating possible investor claims against securities broker Richard Reynolds AKA Richard Foerster Reynolds [CRD#: 2162706, Garden City, NY]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Worden Capital Management. Notably, investors allege sales practice violations in these disputes, […]

Investors have come forward with complaints about securities broker Ray Reese AKA Ray Gene Reese [CRD#: 1694620, Newark, NJ]. Notably, the securities broker, who worked for Money Concepts Capital Corp., discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Money Concepts Capital Corp. clients allege that Reese made unsuitable recommendations and misrepresentations and […]

Soreide Law Group is investigating possible investor claims against securities broker Scott Reed AKA Scott Wayne Reed [CRD#: 3007033, Scottsdale, AZ]. Notably, Arizona Corporation Commission Securities Division sanctioned the securities broker, who worked for Wells Fargo Advisors. Allegedly, Reed engaged in private securities transactions. Here is a brief summary of Arizona Corporation Commission Securities Division’s […]