Investor Disputes Involve Securities Broker Kyle Davis (Raymond James, Morgan Stanley) FINRA BrokerCheck indicates that investors alleged improper sales practices involving securities broker and financial advisor Evan Kyle Davis “Garry Davis” (CRD#: 2995789, Atlanta, Georgia) and that those violations resulted in damages. Notably, Davis worked for Raymond James (his employer from 2013 to 2019), Morgan […]

Clients Of Independent Financial Group And First Allied Securities Allege Damages By Broker Theodore Franse Soreide Law Group is examining investor complaints concerning securities broker Theodore Hendrickus Franse (CRD#: 1418012, Fair Oaks, California), as reported on FINRA BrokerCheck. It appears that the disclosures involving Franse concern his employment at securities firms Independent Financial Group (he […]

Morgan Stanley Clients, AG Edwards Clients Bring Investment Disputes Concerning Mark Potocsny Investment loss recovery counsel at Soreide Law Group provides this update on securities broker Mark Julius Potocsny (CRD#: 2417184, Cheshire, Connecticut), who discloses information about investor disputes on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Particularly, Potocsny, who worked for securities firms Morgan Stanley […]

Broker Sean McElduff Faces Investor Disputes From Hennion Walsh Clients Soreide Law Group comes to you with new information relating to the FINRA BrokerCheck disclosures on securities broker Sean J. McElduff (CRD#: 5565355, Parsippany, New Jersey). It appears that the disclosures involving McElduff concern his employment at Hennion Walsh (2008 - present). McElduff also works […]

Broker Shane Falcon (National Securities Corp) Faces Investor Disputes Involving Private Placements, Equities The Financial Industry Regulatory Authority (FINRA) provides important information in regard to securities broker Shane Rene Falcon (CRD#: 5626256, Miami, Florida). Evidently, Falcon worked at GunnAllen Financial and CBG Financial Group before joining National Securities Corporation. Evidently, he worked at National Securities […]

Broker Bryan Bordelon (Raymond James, Morgan Keegan) Facing Investor Disputes FINRA BrokerCheck indicates that investors alleged inappropriate sales practices involving securities broker Bryan Kirk Bordelon (CRD#: 3175386, New Orleans, Louisiana). It appears that the disclosures involving Bordelon concern his employment at Raymond James Associates Inc. (he has been a securities broker and financial advisor since […]

Securities Broker Charla Kabana Is Barred By FINRA And Involved In Sagepoint Financial Client's Dispute About Suitability Soreide Law Group is reviewing investor complaints concerning securities broker Charla Cynthia Kabana (CRD#: 1453982, Huntington Beach, California), as disclosed on FINRA BrokerCheck. Particularly, Kabana, who worked for securities firms Sagepoint Financial (her employer from 2016 to 2018) […]

Transamerica And Farmers Clients File Disputes Alleging Damages Caused By Broker Debbie Herrmann Investment loss recovery counsel at Soreide Law Group provides this update on securities broker Deborah Lynn Herrmann (AKA Debbie Herrmann and Debbie Gniech) (CRD#: 5204514, Wheaton, Illinois), who discloses information about a regulatory action and investor dispute on Financial Industry Regulatory Authority […]

IAA, Chelsea Clients File Suitability Disputes Involving Broker Charles Bloom Soreide Law Group comes to you with new information relating to securities broker Charles Lewis Bloom (CRD#: 4144108, Royal Palm Beach, Florida). It appears that the disclosures involving Bloom concern his employment at securities firms IAA Financial LLC (his employer from 2014 to 2015), International […]