Clients Of Axiom Capital Management File Disputes About Securities Broker Jennifer Ling The Financial Industry Regulatory Authority (FINRA) BrokerCheck contains recent disclosures regarding securities broker Jennifer Ling (CRD#: 3277203, New York, New York). Specifically, Ling, who worked for Axiom Capital Management between May 2015 and July 2017, faces investor disputes. Here's a closer look at […]

CHRISTINA LINDSEY ORTA (CHRISTINA M LINDSEY,CHRISTINE MARIE LINDSEY) CRD#: 3278327, currently registered as a broker with CAMBRIDGE INVESTMENT RESEARCH, INC. of Westlake Village, CA, and an investment advisor with COOPER MCMANUS of Westlake Village, CA, according to FINRA’s BrokerCheck, is involved in a “Customer Dispute,” filed in August of 2021. The FINRA dispute against CHRISTINA […]

Jeffrey Baber (First Standard Financial Company) Involved In Investor Disputes Soreide Law Group is reviewing potential investor disputes concerning securities broker Jeffrey Allen Baber (CRD#: 1232485, Boca Raton, Florida). Investors allege that Baber made sales practice violations when he worked for National Securities Corporation and First Standard Financial Company. Let’s take a closer look at […]

Tennessee Securities Division Sanctions Raymond James' Bill Woods Financial Industry Regulatory Authority (FINRA) BrokerCheck contains three disclosures regarding securities broker William Forrest Winchester III (Bill Woods) (CRD#: 4404327, Chattanooga, Tennessee). Notably, Tennessee Securities Division reportedly sanctioned Woods for allegedly failing to disclose loans with Raymond James clients. It appears that Raymond James terminated Woods as […]

Soreide Law Group has represented over twelve Northstar Financial Services (Bermuda) investors and has several cases still pending against: SunTrust, BB&T, and Ocean Financial. Another broker/dealer brought to our attention is ROBIN VAIL PLATT who is currently registered with HANCOCK WHITNEY INVESTMENT SERVICES INC. of Covington, Louisiana. Allegedly, ROBIN VAIL PLATT, a registered representative with […]

Dawson James Securities Clients File Disputes About Securities Broker Douglas Armstrong Soreide Law Group has important information to share with you regarding Robert Douglas Armstrong (CRD#: 5236735, Boca Raton, Florida). Namely, Armstrong, who became a Dawson James Securities Inc. employee in August 2012, is involved in eight investor disputes. Here's more on the disclosures and […]

Raymond James Clients File Disputes Alleging Sales Practice Violations By Gregory Collier The Financial Industry Regulatory Authority (FINRA) contains current information on disputes involving securities broker Gregory Cline Collier Sr. (Gregory Cline) (CRD#: 1408843, Mount Dora, Florida). Evidently, the securities broker worked for Raymond James Financial Services (April 2005 – present) as securities broker, and […]

On November 2, 2021, JAMES ALAN SEIJAS (JAMES A SEIJAS) CRD#: 2392901, was barred by FINRA from acting as a broker or otherwise associating with a broker/dealer firm. Seijas was registered from November of 2013 until March of 2019 with WELLS FARGO CLEARING SERVICES, LLC of Short Hills, New Jersey. According to the FINRA report, […]

Soreide Law Group obtained this information on the following broker from FINRA’s website under, “Disciplinary and Other FINRA Actions,” October 2021: ALFONSE JOSEPH STAZZONE (ALFONSE JOSEPH STAZZONE JR., CRD #4908107, Staten Island, New York) On August 16, 2021, an Acceptance, Waiver and Consent (AWC) was issued in which ALFONSE J STAZZONE was fined $5,000 and […]