Latest Securities Lawyer News

Soreide Law Group is investigating possible investor claims against securities broker David Richard Geake [CRD#: 3088891, Northbrook, Illinois]. Specifically, FINRA BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Ausdal Financial Partners and Madison Avenue Securities. Evidently, one or more clients allege sales practice violations in these disputes, including […]

Soreide Law Group is investigating possible investor claims against securities broker William Sideny Friedman AKA Bill Friedman and Willie Friedman [CRD#: 2475502, Boca Raton, Florida]. Evidently, FINRA sanctioned the securities broker, who worked for Newbridge Securities Corp., Woodstock Financial Group, and Pinnacle Investments. Notably, FINRA's accusations against the securities broker include failure to respond to […]

Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: DH HILL SECURITIES, LLP (Respondent) The Claimant resides in North Carolina and claims to have limited investment experience.  The Claimant, according to the lawsuit wanted investments that would not be high-risk as nears retirement.  The lawsuit states that the Claimant […]

Soreide Law Group is investigating possible investor claims against securities broker Gary Allen Didonna [CRD#: 1651306, Osprey, Florida]. Specifically, FINRA BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Prime Capital Services and Spire Securities. Evidently, one or more clients allege sales practice violations, including unsuitable recommendations. Here is […]

Soreide Law Group is investigating possible investor claims against securities broker Scott Erik Aabel AKA Scott Eric Aabel [CRD#: 1493667, Osprey, Florida]. Specifically, FINRA BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Spire Securities. SagePoint Financial, and Investors Capital. Evidently, one or more clients allege sales practice violations […]

Investors have come forward with complaints about securities broker Shomir Mukherjee AKA Shomir Singh [CRD#: 4121898, Westlake Village, California]. Evidently, the securities broker, who worked for Western International Securities, discloses investor disputes on FINRA BrokerCheck. Evidently, Western International Securities clients allege unsuitable recommendations. For more on these disclosures about Mukherjee, see below. However, please note […]

FINRA reports allegations of sales practice violations by securities broker Steven Mackie Woods AKA Steven Woods [CRD#: 5715598, New York, New York]. Evidently, clients disputed the sales practices of the securities broker, who worked for Laidlaw Company (UK) Ltd. However, Woods denies the allegations of sales practice violations. Read on to learn more about the […]

Soreide Law Group is investigating possible investor claims against securities broker Christopher Lee Hibbard, AKA Chris Hibbard [CRD#: 3176484, Louisville, Kentucky]. Evidently, the Securities and Exchange Commission (SEC) sanctioned the securities broker, who worked for firms including Morgan Keegan Company and Merrill Lynch Pierce Fenner Smith. Notably, Hibbard pled guilty to criminal conduct. Here is […]

Soreide Law Group is investigating possible investor claims against securities broker Rebecca King Wah Ng-Tsang [CRD#: 5578435, Bellevue, Washington]. Specifically, FINRA BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Cetera Investment Services. Evidently, one or more clients allege sales practice violations in these disputes, including misrepresentations. Here is […]