Securities Broker Torry Morris (Lincoln Investment, Investors Capital Corp) In Disputes Alleging Sales Practice Violations The Financial Industry Regulatory Authority (“FINRA”) BrokerCheck report for securities broker Anthony Ryan Morris “Tony Morris” (CRD#: 2849581, El Paso, Texas) shows that his employer, Lincoln Investment (El Paso, Texas), permitted him to resign amid allegations of violating policy. BrokerCheck […]

Soreide Law Group has been contacted by investors regarding the broker: ERIC PETER WESCHKE (CRD#: 2486324) Weschke is currently registered both as an investment advisor and broker with KALOS CAPITAL, INC. of SETAUKET, NEW YORK, since May 16, 2011. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, ERIC PETER WESCHKE has been […]

Broker John Lowry Investigated By FINRA, Involved In Spartan Client Disputes Soreide Law Group provides you with some of the latest information in regard to securities broker John Dennis Lowry (CRD#: 4336146, New York, New York). It appears that Lowry, who is the CEO of Spartan Capital Securities LLC, faces an August 2020 FINRA investigation […]

Ameriprise Financial Services' Barry Abrams Facing Investor Disputes Alleging Unsuitability, Breach Of Fiduciary Duty Soreide Law Group brings you up to speed regarding securities broker Barry David Abrams (CRD#: 488, Marlton, New Jersey). Specifically, FINRA BrokerCheck shows that five investors brought disputes about Abrams, and a couple of those disputes concern Abrams’ actions at Ameriprise […]

Voya Securities Broker Pete Mersberger Facing Allegations Of Sales Practice Violations Soreide Law Group has new information to share with you in regard to securities broker Peter Jerome Mersberger “Pete Mersberger” (CRD#: 2372186, Sheboygan Falls, Wisconsin). Namely, four investors challenged Mersberger’s sales practices, and two of those disputes concern his actions at Voya Financial Advisors […]

Comerica Investors Allege Sales Practice Violations By Securities Broker Ed Torriente Soreide Law Group is investigating potential investor claims against securities broker William Edward Torriente Jr. (known as Ed Torriente and Eddy Torriente) (CRD#: 4255814, Phoenix, Arizona). It appears that Torriente worked for Comerica Securities Inc. from 2009 to 2020. Notably, three clients of Comerica […]

Barrett Company Clients Take Issue With Securities Broker Chad White The Financial Industry Regulatory Authority (“FINRA”) indicates through BrokerCheck that investors challenged the sales practices of Barrett Company securities broker Charles Edward White II “Chad White” (CRD#: 1345688, Providence, Rhode Island). Namely, seven investors disputed White’s actions. Allegations include unsuitability and misrepresentation. And Massachusetts Securities […]

CHRISTOPHER THOMAS ERIKSSON (CRD#: 2487298) was previously registered as a broker with Merrill Lynch, Pierce, Fenner & Smith, Incorporated of Wayzata, Minnesota from 01/14/2005 - 11/18/2020. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, CHRISTOPHER THOMAS ERIKSSON has been listed in the securities industry for 26 years. He is not currently listed.  […]

On October 7, 2021, ERIC SHEA HOLLIFIELD (ERIC S HOLLIFIELD) was barred by the Financial Industry Regulatory Authority (FINRA).  Hollifield was previously registered both as a broker and as an investment advisor.  He was formerly registered as a broker with LPL FINANCIAL LLC OF Dacula, Georgia from 10/14/2016 - 09/10/2021. According to the FINRA report, […]