Allstate Securities Broker Ivan Wenzel Involved In Investor Dispute About Annuity The Financial Industry Regulatory Authority (FINRA) contains new information about securities broker Rodolf Ivan Wenzel (“Ivan Wenzel”) (CRD#: 1532033, Redlands, California). Evidently, Wenzel worked for firms Allstate Financial Services (1999 to 2018) and Voya Financial Advisors (2019 to 2020). Specifically, two Allstate investors filed […]

Investor Disputes Center Around IBN Securities Broker Robert Star The Financial Industry Regulatory Authority (FINRA) contains important information regarding securities broker Robert Mark Star (CRD#: 3235830, Bluffton, South, Carolina). Evidently, Star worked for securities firms UBS PaineWebber, EDI Financial, Source Capital Group, Starvangrouw Financial, IBN Financial Services, and IBN Advisory Services. Star has been a […]

In a recent article from InvestmentNews, it was reported that in a Financial Industry Regulatory Authority Inc. (FINRA) arbitration two claimants were awarded $2.66 million in damages due to losses from the sale of nontraded real estate investment trusts (REITs) and annuities. According to the FINRA award, the two claimants filed the FINRA claim against […]

MARIO EVERILDO RIVERO (MARIO E RIVERO), formerly of  Wells Fargo of Elizabeth, New Jersey, and LPL Financial of Red Bank, New Jersey, is facing charges that he allegedly misappropriated his clients out of more than half a million dollars. On March 14, 2022, the Securities and Exchange Commission (SEC), filed a complaint civil complaint, which […]

The Florida-based Soreide Law Group obtained the following information on FINRA’s website under, “Disciplinary and Other FINRA Actions,” from March, 2022 on the following Florida broker: Tarek Mohsen Mohamed (Tarek Mohamed, CRD #6717691), New Port Richey, Florida) formerly with Bankers Life Securities of Clearwater, Florida. On January 27, 2022  an Order Accepting Offer of Settlement […]

Soreide Law Group is currently investigating claims involving James Taylor Davis, who is a registered representative of, Northwest Mutual Investment Services, LLC, of Lexington, Kentucky. James Taylor Davis is the subject of a settled case involving alleged misconduct relating to variable universal life insurance products. In the case, investors sought $25,000 in damages and were […]

Securities Broker Mark Huber Involved In Investor Disputes Involving Concorde Investment Services Clients It appears that securities broker Mark Huber (CRD#: 5976354, Racine, Wisconsin) is involved in disputes alleging sales practice violations. Evidently, Huber joined Concorde Investment Services as a securities broker in March 2012. He also became a financial advisor there in July of […]

Broker Danny Young Involved In Investor Disputes Brought By Voya, ING Clients Soreide Law Group comes to you with new information in regard to securities broker Danny Young (CRD#: 4115155, Lake City, Florida). It seems that Young worked for securities firms Voya Financial Services Inc. as both a financial advisor and securities broker. He joined […]

Morgan Stanley Clients, Prime Capital Services Clients Allege Sales Practice Violations By Mark Wells The Financial Industry Regulatory Authority (FINRA) contains important information on Mark Walter Wells (CRD#: 3053517, Boca Raton, Florida). Namely, the securities broker, who worked for Morgan Stanley in Boca Raton, Florida, since 2014, is involved in an investor dispute regarding alleged […]