Investors, Regulators File Lawsuits Regarding Securities Broker Jonah Engler The Financial Industry Regulatory Authority (“FINRA”) confirms through BrokerCheck that 16 investors challenged the sales practices of securities broker Jonah Engler (CRD#: 4216259, New York, New York). Evidently, these investor disputes contain allegations of Engler making unsuitable and unauthorized trades in client accounts. Moreover, BrokerCheck shows […]

Money Concepts Broker Dustin Shafer Barred As Securities Broker, Involved In Investor Disputes Soreide Law Group is reviewing whether to bring investor claims against Money Concepts Capital Corp securities broker Dustin Paul Shafer (CRD#: 4198962, Springfield, Illinois). Notably, as of January 7, 2021, Shafer’s securities broker privileges have been taken away by State of Illinois […]

Investors File Disputes About Securities Broker Chad Barancyk's Sales Practices Investors have disputed the sales practices of First Allied Securities broker Chad Ryan Barancyk (CRD#: 4921433, Chicago, Illinois), according to the Financial Industry Regulatory Authority (“FINRA”). Namely, there are three investors who have alleged sales practice violations by Barancyk. Also, BrokerCheck shows that FINRA briefly […]

Securities Regulator Reportedly Investigating Lodging Fund REIT III Over Reimbursement Policy The Securities and Exchange Commission (“SEC”) has reportedly opened an investigation into Lodging Fund REIT III Inc. Critically, this investigation might have an adverse effect on the value of your Lodging Fund REIT III holdings. Here’s more about Lodging Fund REIT and the investigation. […]

Investors File Disputes About Broker Todd Ellentuck (Aegis, UBS) The Financial Industry Regulatory Authority (“FINRA”) reports serious information about a securities broker by the name of Todd Michael Ellentuck (CRD#: 1321452, Morristown, New Jersey). Mainly, at least three investors disputed Ellentuck’s sales practices. In addition, UBS Financial Services Inc. disaffiliated with Ellentuck due to unauthorized […]

Securities Broker Jon Pyne Involved In Seven Investor Disputes Soreide Law Group has come across important information in regard to Jonathan Todd Pyne (CRD#: 2580510, Minneapolis, Minnesota). Notably, the Financial Industry Regulatory Authority (“FINRA”) indicates that Pyne, who is a securities broker and financial advisor with Berthel Fisher and BFC Planning, is involved in seven […]

RAYMOND ALAGAO VELASCO Sr (RAY VELASCO, RAYMOND VELASCO) CRD#: 4867519, formerly with LPL Financial of Lisle, Illinois, was suspended for two years and fined $10,000 by FINRA for allegedly falsifying documents to help his clients avoid paying certain fees. On April 1, 2021, without admitting or denying FINRA’s findings, RAYMOND ALAGAO VELASCO Sr  consented to […]

Securities Broker Bill Young Involved In H. Beck Investor Disputes The Financial Industry Regulatory Authority (“FINRA”) reports through BrokerCheck that investors complained about the sales practices of William “Bill” Robert Young (CRD#: 4787488, Rockville, Maryland). It appears that these disputes, all of which have been filed between 2018 to 2021, involve Young’s actions at H. […]

Broker Samuel Head Is Involved In Voya Financial Client Disputes Soreide Law Group has come across some concerning information on FINRA BrokerCheck in regard to securities broker Samuel Ray Head (CRD#: 2456312, Myrtle Beach, South Carolina). Specifically, there are seven investors who disputed Samuel Head’s sales practices. Here’s a bit more about the disclosures, including […]