Latest Securities Lawyer News

Soreide Law Group is investigating possible investor claims against securities broker Frank Cid (also known as Francis Cid) [CRD: 2897738, Plainview, NY]. Notably, FINRA sanctioned the securities broker, who worked for CBC Securities Inc. Allegedly, Frank Cid failed to turn over information and documents to FINRA when it investigated potential rule infractions. Here is a […]

Soreide Law Group has filed a FINRA arbitration on behalf of their client (Claimant) against: EMERSON EQUITY, LLC, and their registered representative, TONY BAROUTI. (Respondents) The Claimant is a retiree living in California who was looking for conservative investments that could generate a stable income to sustain him through retirement without any risk of loss […]

Soreide Law Group is investigating possible investor claims against securities broker Rett Ellis (also known as Everett Bryant Ellis) [CRD: 4046494, Gulf Breeze, FL]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck disclosed that investors complained about the securities broker, who worked for BBVA Securities Inc. Here is a brief summary of the disclosures about Rett […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Dusty Veitenheimer (also known as Dusty Lynn Sternadel) [CRD: 5872600, Wichita Falls, TX]. Notably, investors complained about the securities broker, who worked for Ameriprise Financial Services LLC. Additionally, the securities broker disclosed a regulatory enforcement action. However, Veitenheimer denies the allegations of sales […]

Soreide Law Group is investigating possible investor claims against securities broker Donovan Kelly (also known as Donovan Thomas Kelly) [CRD: 2622366, Billings, MT]. Notably, FINRA sanctioned the securities broker, who worked for Independent Financial Group LLC. Allegedly, Kelly engaged in private securities transactions. Here is a brief summary of FINRA’s allegations against Kelly. FINRA Sanctions […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Don Ingram (also known as Donnie Eugene Ingram) [CRD: 1416971, Winter Haven, FL]. Not only has FINRA filed an enforcement action against Ingram, but investors disputed Ingram’s sales practices. However, Ingram denies the allegations of sales practice violations. Read on to learn more […]

Soreide Law Group is investigating possible investor claims against securities broker David Hixon (also known as David Thomas Hixon) [CRD: 4707468, Scottsdale, AZ]. Notably, FINRA sanctioned the securities broker, who worked for Morgan Stanley. Allegedly, Hixon failed to provide information and documents to FINRA when it investigated potential FINRA rule infractions. Here is a brief […]

Soreide Law Group is investigating possible investor claims against securities broker Dave McDonnell (also known as David Robert McDonnell) [CRD: 1757401, Laguna Beach, CA]. Notably, FINRA sanctioned the securities broker, who worked for TCFG Wealth Management LLC. Allegedly, McDonnell failed to provide information and documents to FINRA when it investigated potential FINRA rule infractions. Here […]

Soreide Law Group is investigating possible investor claims against securities broker Corrie Box (also known as Corrie Ann Mitchell) [CRD: 7221410, San Antonio, TX]. Evidently, FINRA sanctioned the securities broker, who worked for Cambridge Investment Research Inc. Allegedly, Box failed to provide information and documents to FINRA when it investigated potential FINRA rule infractions. Here […]