Securities Broker Leonard Fox Accused Of Misappropriation Soreide Law Group is investigating possible investor disputes to be brought against securities broker Leonard Fox (CRD: 1034449, Marlton, New Jersey). It appears that this securities broker, who worked for Morgan Stanley (2011 and 2013) and FSC Securities Corporation (2013 to 2016), is involved in a number of […]

Securities Broker Katherine Clark Involved In Investor Disputes Alleging Unauthorized, Excessive Trades The Financial Industry Regulatory Authority (“FINRA”) contains troubling information about Katherine S. Clark (CRD#: 856235, Chevy Chase, Maryland). Evidently, the securities broker worked for firms including Citigroup Global Markets (1993 to 2005), Merrill Lynch (2005 to 2014) and RBC Capital Markets (2014 to […]

GARY BRIAN DODDS (Gary Dodds CRD#: 840109) a former stock broker with Raymond James Financial Services of Bend, Oregon, was issued $220,000 in civil penalties by the Oregon Division of Financial Regulation, and Raymond James Financial Services, Inc. agreed to pay $123,279 in restitution to the victims of the alleged excessive trading practices of Gary […]

FINRA Suspends ProEquities Broker Adam Feierstein FINRA BrokerCheck contains alarming information in regard to securities broker Adam S. Feierstein (CRD#: 6033082, Redondo Beach, California). Evidently, the securities broker worked for Woodbury Financial Services (2013 to 2018) and ProEquities (2018 to 2020). Notably, since 2019, Feierstein has been: targeted in a client dispute; terminated from ProEquities […]

Morgan Stanley's Francisco Valenzuela Targeted In Investor Disputes Soreide Law Group is investigating whether to bring investor disputes against securities broker Francisco Javier Valenzuela (CRD#: 2786970, Tucson, Arizona). Namely, the securities broker, who worked for major securities firms including Merrill Lynch (2010 to 2015) and Morgan Stanley (2015 to 2018), currently has seven disclosures on […]

Broker Randy Birkinbine Is Involved In Investor Dispute Alleging Unsuitable Transactions Investors continue to come forward in dispute of securities broker Randy Lee Birkinbine (CRD#: 2008599, North Oaks, Minnesota). Namely, Birkinbine, who presently works as a broker and financial planner of Ausdal Financial Partners, discloses four investor disputes. Notably, his clients allege that he committed […]

Barred Broker Andre LaBarbera Accused Of Unsuitability, Churning The Financial Industry Regulatory Authority (“FINRA”) BrokerCheck contains alarming information in regard to securities broker Andre Vincent LaBarbera (CRD#: 2072370, Dix Hills, New York). Specifically, the securities broker, who worked for securities firms including Newport Coast Securities, IFS Securities and Titus Rockefeller, is involved in at least […]

RHETT DOUGLAS BEDWELL (RHETT BEDWELL) CRD#: 5664392, was barred by FINRA from acting as a broker or otherwise associating with a broker-dealer firm.  On March 2, 2021, without admitting or denying FINRA’s findings, RHETT BEDWELL consented to the sanction and to the entry of findings that he allegedly refused to produce information and documents requested […]

FINRA Looking Into Suitability Of Broker John Cangialosi's Investment Recommendations Soreide Law Group is evaluating whether to file investment disputes against John Sebastion Cangialosi (CRD#: 3273830, New York, New York). This securities broker, who worked for Legend Securities (2013 to 2016), Worden Capital Management (2016 to 2019) and SW Financial (2019 to present), has troubling […]