Cetera Investment Services Client Alleges Sales Practice Violation By Broker John Broughton The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker John Charles Broughton (CRD#: 2362478, Gross Pointe Woods, Michigan). Specifically, four investors filed disputes about Broughton. One of those investors filed a claim in July 2020 concerning Broughton’s actions at Cetera […]

Soreide Law Group obtained the following information from FINRA’s January of 2022 Disciplinary Report on the former WYNSTON HILL CAPITAL LLC of Fletcher, North Carolina, broker: CRAIG JAY SHERMAN (CRD #5670193, Fletcher, North Carolina) On November 12, 2021, an AWC was issued in which CRAIG JAY SHERMAN was assessed a deferred fine of $5,000, suspended […]

Portfolio Advisors Alliance Client Alleges Sales Practice Violations By Broker Howard Allen Soreide Law Group comes to you with important information about securities broker Howard Joseph Allen (CRD#: 2033586, New York, New York). BrokerCheck confirms that Allen worked as a securities broker for Portfolio Advisors Alliance LLC from January 2009 to December 2019. So far […]

Soreide Law Group, based in Florida, obtained the following information on the Florida broker, formerly with FSC Securities Corporation, of Winter Haven, Florida, from FINRA’s January 2022 Disciplinary Report: Brian Stanley Pearce (CRD #1334784, Winter Haven, Florida) On November 2, 2021 an Acceptance, Waiver and Consent (AWC) was issued in which Brian Stanley Pearce was […]

Aegis Capital Clients Allege Sales Practice Violations By Dennis Herrera The Financial Industry Regulatory Authority (FINRA) contains important information concerning securities broker Dennis Daniel Herrera (CRD#: 4618370, Miami, Florida). BrokerCheck shows that Herrera has worked as an Aegis Capital Corp. securities broker since March 2016. He also worked for firms including Blackbook Capital and Hunter […]

On January 24, 2022, the Financial Industry Regulatory Authority (FINRA) barred JOSHUA DAVID NICHOLAS (Josh Nicholas CRD#: 6529944).  Nicholas resigned from Merrill Lynch of Stuart, Florida, over allegations of forging documents and misappropriating funds, according to a recent article in Financial Advisor IQ. Without admitting or denying FINRA’s findings, JOSHUA DAVID NICHOLAS consented to the […]

Soreide Law Group, based in Pompano Beach Florida, has obtained the following information from FINRA’s Disciplinary report from January of 2022. CAROLINE MOHAN (CAROLINE REYES, CRD#: 2429577, West Palm Beach, Florida) has been barred by FINRA from acting as a broker or otherwise associating with a broker/dealer firm. On November 22, 2021, an Acceptance, Waiver, […]

BBVA's Lori Welborn Facing Disputes From BBVA Clients About Variable Annuity Sales The Financial Industry Regulatory Authority (FINRA) contains important information concerning the disputes involving securities broker Lori Ann Welborn (AKA Lori O’Bier and Lori Boland) (CRD#: 2344775, Richardson, Texas). It appears on BrokerCheck that six investors disputed Welborn’s sales practices, with one or more […]

Thrivent Broker Nicholas Baecker Sanctioned By Oregon Division Of Financial Regulation, FINRA Soreide Law Group comes to you with important information regarding securities broker Nicholas Gregory Baecker (CRD#: 5618205, Portland, Oregon). Specifically, the Financial Industry Regulatory Authority (FINRA) and the Oregon Division of Financial Regulation sanctioned Baecker. Not only that, but one of Baecker’s clients […]