Latest Securities Lawyer News

Annuities are contracts and vary from company to company about their terms and conditions. As a securities lawyer who has reviewed hundreds of annuity contracts for our clients there are several concerns everyone should be aware of before locking up your money. The first is the money is truly locked up as it has to […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Rhett Douglas Bedwell (CRD:  5664392, Rogers, AR). Notably, investors disputed the sales practices of the securities broker, who worked for LPL Financial LLC. Additionally, the securities broker discloses a regulatory enforcement action. However, Bedwell denies the allegations of sales practice violations. Read on […]

Soreide Law Group is investigating possible investor claims against securities broker Jeffrey Daniel Basford (CRD:  5077566, Westport, CT). Evidently, FINRA sanctioned the securities broker, who worked for David Lerner Associates Inc. Allegedly, Basford failed to testify when FINRA investigated the securities broker for possibly violating FINRA rules. Here is a brief summary of FINRA’s allegations […]

Investors have come forward with complaints about securities broker James Baroutas (CRD:  1252613, New York, NY). Evidently, the securities broker, who worked for B. Riley Wealth Management, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, B. Riley Wealth Management clients allege that Baroutas engaged in unauthorized trading. For more on these disclosures […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker John Charles Barnes (CRD:  862738, Naples, FL). Not only has FINRA sanctioned Barnes for unauthorized trading, but investors disputed the sales practices of the securities broker. However, Barnes denies the allegations. Read on to learn more about the allegations against Barnes. FINRA Issues […]

Soreide Law Group is investigating possible investor claims against securities broker Vincent Keith Annable (CRD: 1033573, Nashville, TN). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Center Street Securities Inc. Evidently, one or more investors alleged that Annable made unsuitable recommendations and […]

Soreide Law Group has filed a FINRA arbitration on behalf of their client (Claimant) against: RAYMOND JAMES & ASSOCIATES, INC., and their registered representative, RAYMOND SARDINA (Respondents). The Claimant is in his late sixties and resides in Venezuela. The Claimant’s previous broker had left RAYMOND JAMES and he was assigned to RAYMOND SARDINA. According to […]

Soreide Law Group is investigating possible investor claims against securities broker Timothy Williams [CRD: 6341465, Tucson, Arizona]. Notably, FINRA sanctioned the securities broker, who worked for Edward Jones. Allegedly, Williams failed to respond to FINRA’s request for information. Here is a brief summary of FINRA’s allegations against Williams. Williams Barred By FINRA For Failure To […]

Soreide Law Group is investigating possible investor claims against securities broker Eric Willer [CRD: 2263899, Irving, Texas]. Notably, FINRA sanctioned the securities broker, who worked for Fusion Analytics Securities LLC. Allegedly, Willer made unsuitable recommendations. Here is a brief summary of FINRA’s allegations against Willer. FINRA Sanctions Fusion Analytics Securities LLC Securities Broker For Unsuitable […]