The Financial Industry Regulatory Authority (FINRA) has fined and suspended a former Edward Jones of Milwaukie, Oregon, advisor, Ronald Scott Bright (Ronald S Bright CRD#: 2702179) over allegedly not making changes to his clients’ accounts on the same days that he confirmed the planned changes with the clients, according to a recent article in Financial […]

In a recent article from the New York Post, it is alleged that an elderly New Jersey eye doctor claims her Wells Fargo financial advisor, KENNETH ANDREWS WELSH (KENNETH A WELSH CRD#: 4657872) allegedly misappropriated more than $1.8 million from her investment accounts and then took another $900,000 to buy himself a luxury home.  The […]

FINRA Sanctions McNally Financial For Failing To Supervise NT-ETPs, Options Trading FINRA sanctioned McNally Financial Services Corporation (CRD#: 121196, San Antonio, Texas). Notably, the firm violated FINRA rules relating to supervision of non-traditional exchange traded products (NT-ETPs) and options trades. Soreide Law Group provides you with some of the key details about FINRA’s disciplinary action […]

Did Your Financial Advisor Recommend SQN AIF IV LP? Soreide Law Group is looking into potential investor lawsuits against securities brokers or financial advisors that have recommended SQN Alternative Investment Fund IV (“SQN AIF IV LP”). Here’s more about the investment, including what you could do if you experienced losses from your financial advisor's recommendations. […]

Securities Broker Viqas Akhtar Involved In National Securities Corp Client Dispute About Private Placement Suitability The Financial Industry Regulatory Authority (FINRA) reports new disclosures concerning securities broker Viqas Akhtar (CRD#: 5624412, Miami, Florida). Evidently, Akhtar is involved in seven investor disputes alleging sales practice violations such as unsuitable transactions. Six of these disputes concern Akhtar’s […]

GWG Is a TOTAL Loss, Call Us To Begin Your Recovery! Soreide Law Group is investigating prospective investor lawsuits against financial advisors that recommended GWG Holdings Inc. L Bonds to investors. Notably, GWG Holdings failed to make required principal and interest payments to investors last month. Here’s more about GWG Holdings L Bonds, including how […]

ProShares Bitcoin ETF (BITO) Soreide Law Group comes to you with new information regarding ProShares Bitcoin Strategy ETF. With cryptocurrency becoming an increasingly popular avenue for investors, it may be no surprise that ProShares Bitcoin Strategy ETF is getting quite a buzz. Here’s a breakdown of how this investment works and some of the main […]

APW Capital Broker Paul Furusho Barred As Securities Broker By FINRA The Financial Industry Regulatory Authority (FINRA) reportedly barred securities broker Paul Wesley Furusho (CRD#: 2165709, San Francisco, California). Specifically, the regulator indefinitely prohibited Furusho from working as a securities broker because of alleged misconduct during an investigation. Not only that, but Furusho’s recent employer, […]

According to FINRA’s BrokerCheck, on Dec. 30, 2021, a FINRA extended hearing panel ruled that DARRYL MATTHEW COHEN (CRD#: 2786613) should be barred on February 16, 2022 if no further action is taken, due to his refusal to provide information requested by FINRA. Cohen was discharged from Morgan Stanley Smith Barney, LLC, in Westlake Village, […]