Broker Mason Gann Targeted In Berthel Fisher Investor Disputes There is troubling information that you should know about it concerning Berthel Fisher securities broker Mason Wayne Gann (CRD#: 4030936, Dallas, Texas). Notably, the securities broker faces client disputes, regulatory sanctions and more. It seems that Gann potentially sold unsuitable and misrepresented investments. Here’s a closer […]

FINRA Bars LPL Financial Broker Scott Mason The Financial Industry Regulatory Authority (“FINRA”) indefinitely barred securities broker Scott Mason (CRD#: 3207386, Greenwood Village, Colorado). It seems that Mason, who worked for LPL Financial (2013 and 2017) and Voya Financial Advisors (2018), received two sets of sanctions by FINRA. Also, LPL clients complained about Mason. Notably, […]

Securities Broker Mark Yadron Involved In Disputes Alleging Bad Advice, Unauthorized Transactions Investor Alert! The Financial Industry Regulatory Authority (“FINRA”), who regulates most securities professionals in the United States, discloses investor disputes about securities broker Mark David Yadron (CRD#: 1520648, Prescott, Arizona). Notably, clients allege unsuitable and unauthorized trading by Yadron, who worked for Merrill […]

Park Avenue Securities' Robert Wynn Involved In Investors' Suitability Disputes Investors have come forward to challenge the sales practices of securities broker Robert Charles Wynn (CRD#: 2458453, Glendale, California). The securities broker, who worked for securities firm Park Avenue Securities from 1999 to 2017, is involved in at least seven investor disputes. Notably, investors allege […]

AXA Equitable Broker David Cohen Targeted In Disputes Alleging Unsuitable Recommendations The Financial Industry Regulatory Authority (“FINRA”) reports troubling information regarding securities broker David Allan Cohen (CRD#: 4531744, Rockville, Maryland). Apparently, the securities broker, who worked for AXA Advisors LLC between 2002 and 2017, reports at least three investor disputes. Notably, one or more investors […]

Laidlaw Securities Broker Joseph Fedorko Involved In Disputes Over His Trading Practices The Financial Industry Regulatory Authority (“FINRA”) reports troubling information regarding Laidlaw securities broker Joseph Michael Fedorko Jr. (CRD#: 2007317, Greenwich, Connecticut). Evidently, 18 investors have come forward to dispute Fedorko’s sales practices. These disputes allege various sales practice violations including suitability, misrepresentation, breach […]

Broker Murray Petersen Involved In SCF Investor Disputes The investment loss recovery team at Soreide Law Group provides you with this Investor Alert in regard to securities broker Murray Petersen (CRD#: 1311730, Roseville, California), who is on the receiving end of multiple investor disputes. Evidently, this broker, who also goes by the name Todd Peterson, […]

In a recent article from Investment News, it was reported that John Michael Krohn (John Krohn CRD#: 2722975, West Des Moines, Iowa) former broker with Principal Securities Inc. of West Des Moines, Iowa, is facing $39.2 million in legal damages from at least three investors’ complaints that allege John Krohn, engaged in selling away, or […]

A Financial Industry Regulatory Authority (FINRA) arbitration panel has awarded two claimants over $1 million.  The claimants were clients of UBS Securities who had purchased UBS Yield Enhancement Strategy (UBS YES). The UBS YES strategy, or yield enhancement strategy, is a form of investing, when a broker sells the client call or put options to […]