Latest Securities Lawyer News

Investors have come forward with complaints about securities broker Emilio Guajardo Jr. (CRD:  4871764, The Woodlands, TX). Evidently, the securities broker, who worked for BBT Securities LLC, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, BBT Securities LLC clients allege that Guajardo made misrepresentations. For more on these disclosures about Guajardo, see […]

Soreide Law Group is investigating possible investor claims against securities broker Andy Forrest (also known as Dallah Anderson Forrest Jr.) (CRD:  2224283, Greenville, SC). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Raymond James Associates Inc. Evidently, one or more investors alleged […]

Investors have come forward with complaints about securities broker Ryan Thomas Fleming (CRD:  4378425, Bellevue, WA). Evidently, the securities broker, who worked for Hornor Townsend Kent LLC, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Hornor Townsend Kent LLC clients allege that Fleming made misrepresentations and made unsuitable recommendations. For more on […]

Soreide Law Group is investigating Fariba Zehtabian Madison (Fariba Zehtabian) a broker/financial advisor currently listed with WESTERN INTERNATIONAL SECURITIES, INC. of Los Alamitos, California since 2012. It was brought to our attention that Fariba Zehtabian Madison had allegedly sold GWG bonds to clients. GWG filed for Chapter 11 bankruptcy in April, 2022.  GWG Bonds carry […]

Soreide Law Group filed a FINRA arbitration on behalf of our client (Claimant) against: AUSDAL FINANCIAL PARTNERS, INC. andAMERICAN TRUST INVESTMENT SERVICES, INC.(Respondents) The Claimant is 70 years old and resides in Illinois. The Claimant maintained accounts with the Respondents, and brings this claim, the lawsuit alleges, as the result of the Respondents’ mismanagement of […]

Soreide Law Group is investigating possible investor claims against securities broker Michael Scott Desando (CRD:  1849321, Red Bank, NJ). Evidently, FINRA sanctioned the securities broker, who worked for Network 1 Financial Securities Inc. Allegedly, Desando engaged in excessive trading. Here is a brief summary of FINRA’s allegations against Desando. FINRA Issues Sanctions To Michael Desando […]

Soreide Law Group is investigating possible investor claims against securities broker Bill Burks (also known as William Charles Burks II) (CRD:  2944992, Flower Mound, TX). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Centaurus Financial Inc. Evidently, one or more investors alleged […]

Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: KATALYST SECURITIES, LLC, and their former registered representative, PETER K JANSSEN (Respondents). The lawsuit alleges that in 2017, KATALYST SECURITIES broker, PETER K JANSSEN convinced the Claimant to invest her life savings of $94,930.40 into a crypto venture in digital […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Amanda Yvonne Berry (also known as Amanda Yvonne Coleman) (CRD:  5651609, Oklahoma City, OK). Evidently, investors disputed the sales practices of the securities broker, who worked for MML Investors Services LLC. Additionally, the securities broker discloses a regulatory enforcement action. However, Berry denies […]