SII Investments Clients Allege Unsuitable Transactions By Financial Advisor Robert Fross Soreide Law Group comes to you with important information concerning securities broker Robert C. Fross (CRD#: 4509851, The Villages, Florida). Namely, the securities broker and financial advisor, who worked for SII Investments Inc. (2007 to 2018) and LPL Financial (2018 to present), is involved […]

Woodbury Financial Clients Allege Sales Practice Violations By Broker Peter David The Financial Industry Regulatory Authority (FINRA) BrokerCheck contains important information regarding securities broker Peter Werner David (CRD#: 1133608, Waukesha, Wisconsin). Namely, David, who worked for Woodbury Financial Services from February 2009 to July 2018, is involved in two client disputes. Notably, investors allege sales […]

According to FINRA’s BrokerCheck, PETER N GIRGIS (CRD#: 4520444) was fined $7,500.00, suspended  in all capacities for 9 months (1/3/2022 - 10/2/2022), and ordered to pay $169,677.00 in restitution by FINRA. Girgis is currently registered with SW Financial, New York, NY, since 12/10/2019. Without admitting or denying FINRA’s findings, PETER N GIRGIS consented to the […]

Attention clients of Wahed Invest LLC who may have lost money through the robo-advisory program. In a recent press release, the Securities and Exchange Commission (SEC) charged New York-based robo-adviser Wahed Invest LLC (Also know as Wahed, Wahed Invest Inc., Wahed Invest)  with making misleading statements and breaching its fiduciary duty.  The SEC also charged […]

Oppenheimer Securities Broker Dennis Ayre Barred By FINRA And Involved In Investor Disputes About Foresight Energy LP Stock Transactions Soreide Law Group is reviewing potential investor lawsuits against securities broker Dennis Phillip Ayre (CRD#: 5365176, Beverly Hills, California). Evidently, Ayre, who worked for broker-dealers including Hilltop Securities (2019 to 2020), Oppenheimer Co. Inc. (2014 to […]

The Financial Industry Regulatory Authority (FINRA) has fined and suspended a former Edward Jones of Milwaukie, Oregon, advisor, Ronald Scott Bright (Ronald S Bright CRD#: 2702179) over allegedly not making changes to his clients’ accounts on the same days that he confirmed the planned changes with the clients, according to a recent article in Financial […]

In a recent article from the New York Post, it is alleged that an elderly New Jersey eye doctor claims her Wells Fargo financial advisor, KENNETH ANDREWS WELSH (KENNETH A WELSH CRD#: 4657872) allegedly misappropriated more than $1.8 million from her investment accounts and then took another $900,000 to buy himself a luxury home.  The […]

FINRA Sanctions McNally Financial For Failing To Supervise NT-ETPs, Options Trading FINRA sanctioned McNally Financial Services Corporation (CRD#: 121196, San Antonio, Texas). Notably, the firm violated FINRA rules relating to supervision of non-traditional exchange traded products (NT-ETPs) and options trades. Soreide Law Group provides you with some of the key details about FINRA’s disciplinary action […]

Did Your Financial Advisor Recommend SQN AIF IV LP? Soreide Law Group is looking into potential investor lawsuits against securities brokers or financial advisors that have recommended SQN Alternative Investment Fund IV (“SQN AIF IV LP”). Here’s more about the investment, including what you could do if you experienced losses from your financial advisor's recommendations. […]