Soreide Law Group is investigating possible investor claims against securities broker Seth Barnes Stewart [CRD #: 5467292, Jeffersonville, IN]. Stewart worked for (1) Center Street Securities Inc. from 2012-2020; (2) American Equity Investment Corp from 2009 to 2012; and (3) Center Street Securities Inc. from 2009-2009. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that […]

UBS Financial Services Investors have come forward with complaints about securities broker William Word Huthnance [CRD #: 4326519, Houston, Texas]. Huthnance has been employed by UBS Financial Services since 2015. Specifically, UBS Financial Services clients allege that Huthnance made unsuitable recommendations and misrepresentations. For more on these disclosures about Huthnance, see below. William Huthnance Allegedly […]

The Financial Industry Regulatory Authority (FINRA) reports allegations of sales practice violations by securities broker Patrick Allen English [CRD #: 5189025, Phoenix, AZ]. English worked for (1) Comerica Securities from 2016-2021; (2) Fidelity Brokerage Services from 2015-2016; and (3) Comerica Securities from 2011-2015. Not only has Financial Industry Regulatory Authority (FINRA) barred the securities broker […]

Soreide Law Group is investigating possible investor claims against securities broker Lon Charles Faccini [CRD #: 2736849, Staten Island, NY]. Faccini worked for (1) Arive Capital Markets from 2016-Present; (2) Cape Securities Inc. from 2010-2016; and (3) Liberty Partners Financial Services from 2006-2010. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that Arive Capital Markets […]

The Financial Industry Regulatory Authority (FINRA) reports allegations of sales practice violations by securities broker Francisco Javier Valenzuela [CRD #: 2786970, Tucson, AZ]. Valenzuela worked for Morgan Stanley from 2015-2018; (2) Merrill Lynch Pierce Fenner & Smith from 2010-2015; and (3) Chase Investment Services Corp from 2005-2010. Evidently, a Morgan Stanley investor disputed Valenzuela’s sales […]

The Financial Industry Regulatory Authority (FINRA) reports allegations of sales practice violations by securities broker Camille Cordova [CRD #: 6734084, Glendale, CA]. Cordova worked for NYLife Securities LLC from 2019-2022 and AXA Advisors LLC from 2007-2019. Evidently, an Equitable Advisors investor disputed Cordova’s sales practices. Additionally, the securities broker discloses a regulatory action resulting in […]

Investors have come forward with complaints about securities broker Alan Zelig Appelbaum [CRD #: 500336, Boca Raton, Florida]. Appelbaum worked for (1) Aegis Capital Corp from 2015-2021; (2) Herbert J. Sims & Co from 2002-2015; and (3) Ryan Beck & Co LLC from 2002-2002. Evidently, the securities broker discloses Aegis Capital Corp investor disputes on […]

The Financial Industry Regulatory Authority (FINRA) reports allegations of sales practice violations by securities broker Steven Kiyoto Hirata [CRD #: 1188927, Fresno, CA]. Hirata worked for PFS Investments Inc. from 2010-2021 and PFS Investments Inc. from 1984-2009. Notably, FINRA barred the securities broker. Read on to learn more about the allegations against him. FINRA Sanctions […]

Soreide Law Group is investigating possible investor claims against securities broker Allen H. Wilson [CRD #: 2420229, Florham Park, NJ]. Wilson worked for Wells Fargo Clearing Services Inc. from 2012-Present; (2) Stifel Nicolaus & Company from 2007-2012. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that a Wells Fargo client disputed Wilson’s sales practices. Also, […]