Clients Of Wells Fargo, Ameriprise File Disputes About Broker Jon Mirer Evidently, as of 2020, two additional investor disputes are reported on the FINRA BrokerCheck profile of securities broker Jonathan Ben Mirer, who goes by "Jon Mirer" (CRD#: 336638, Henderson, Nevada). Evidently, Mirer worked for securities firms, including Wells Fargo Advisors LLC (2003 to 2016) […]

CUNA Brokerage Services Clients File Disputes About Broker Steve Sylvester Concerning Suitability Soreide Law Group brings you up to speed concerning the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck as it relates to securities broker Stephen Sylvester ("Steve Sylvester") (CRD#: 1950435, Groton, Connecticut). Namely, four investors challenged his sales practices at CUNA Brokerage Services. […]

On October 1, 2021, the Financial Industry Regulatory Authority (FINRA) barred JEFFREY DAMPF (CRD#: 5676205), a broker formerly with PFS INVESTMENTS INC. OF TOTOWA, NEW JERSEY.  According to FINRA’s BrokerCheck, Dampf was listed with PFS INVESTMENTS INC. from October 21, 2009 until September 21, 2021. Without admitting or denying FINRA’s findings, JEFFREY DAMPF consented to […]

Securities Broker Andrew LeBlanc Sanctioned, Faces Merrill Lynch Client Complaints Soreide Law Group comes to you with important investor information regarding securities broker Andrew Joseph LeBlanc II (CRD#: 2607117, Saddle Brook, New Jersey). Notably, LeBlanc received sanctions from Financial Industry Regulatory Authority (FINRA) to resolve allegations of his participation in private securities transactions. The state […]

Investors Allege Sales Practice Violations By Securities Broker Chris Shaw (Kalos Capital, Pruco Securities) According to the Financial Industry Regulatory Authority (FINRA), securities broker Christopher John Shaw "Chris Shaw" (CRD#: 5011382, Belmont, North Carolina) is involved in investor disputes. The securities broker worked for Blackbird North America, Kalos Capital, Kalos Management, Pruco Securities, Prudential Financial […]

Disputes Filed By Investors Of NSC, Aegis Concerning Securities Broker Johnny Guan Soreide Law Group comes to you with important information regarding securities broker Johnny Guan (CRD#: 5711977, Red Bank, New Jersey). It appears on Financial Industry Regulatory Authority (FINRA) BrokerCheck that Guan is involved in four investor disputes. Evidently, the securities broker, who worked […]

EDWARD L TURLEY (ED TURLEY, EDWARD LAWRENCE TURLEY) CRD#: 1872294, formerly with J.P. Morgan of San Francisco, California, according to FINRA’s BrokerCheck, currently has  5 pending Customer Disputes listed on his CRD report requesting damages totaling $62,300,000.00.  These claims were filed in 2020 and 2021 and range from $5,000,000.00 to $23,000,000.00. According to BrokerCheck, on […]

Clients Dispute Sales Practices Of Hilltop Securities Broker, Financial Advisor Mark Katz The Financial Industry Regulatory Authority (FINRA) reports that investors filed disputes concerning securities broker Mark Katz (CRD#: 3055019, San Diego, California). Evidently, Katz worked as a financial advisor and a securities broker with Hilltop Securities Inc. in San Diego, California from December 2008 […]

MARC FREDERICK KORSCH (MARC KORSCH) CRD#: 5525226, a representative previously registered both as a broker and as an investment advisor, according to FINRA’s BrokerCheck, has been in the securities industry for 12 years and has 14 Disclosures on his FINRA CRD report. Seven of the disclosures are “Customer Disputes.” The significance of Korsch’s FINRA Customer […]