Securities Broker William Athas Under FINRA Investigation Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) announced that it is investigating securities broker William Nicholas Athas (CRD#: 3165470, Melville, New York) as of September 2020 to determine if he sold unsuitable investments and churned his clients’ accounts. It is unclear whether this relates to Athas’s employment […]

Oppenheimer Broker David Krumrey Allegedly Caused Investor Losses The investment loss recovery team at Soreide Law Group provides you with this Investor Alert in regard to securities broker David Wayne Krumrey (CRD#: 4121845, The Woodlands, Texas). The securities broker, who worked for Oppenheimer from 2009 to 2017, is targeted in at least 6 investor disputes. […]

Broker Trevor Rahn Targeted In JP Morgan Securities Investors' Disputes Soreide Law Group is investigating potential investor disputes to be filed against securities broker Trevor Bradner Rahn (CRD#: 2196155, Los Angeles, California). Evidently, this securities broker worked for securities firm JP Morgan Securities LLC from 2010 to 2018 until they disaffiliated with him over his […]

Investment Disputes Allege That Ken Hutkin Made Unsuitable Trades Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports troubling information in regard to securities broker Kenneth Marc Hutkin (CRD#: 1344519, New York, New York). Particularly, four investors filed disputes about the securities broker, who worked for Morgan Stanley from 2010 to 2018 and now works […]

Broker Alex Herrera Is Barred By FINRA, Involved In Investor Disputes The Financial Industry Regulatory Authority (“FINRA”) reports troubling information in regard to securities broker Alex Gerardo Herrera (CRD#: 3204779, Coral Gables, Florida). Notably, FINRA BrokerCheck confirms that at least three investors filed disputes alleging sales practice violations by the securities broker, who worked for […]

Primex's Wilfredo Felix Is Barred By FINRA, Found Liable In Investor Dispute Soreide Law Group is evaluating possible investor claims to be brought against former Primex securities broker Wilfredo Felix Jr. (CRD#: 2693672, New York, New York). Notably, his FINRA BrokerCheck report contains alarming disclosures. This includes FINRA’s decision to bar Felix for seemingly impeding […]

Soreide Law Group is investigating client losses in Infinity Q Capital Management LLC (Infinity Q), and in particular, Infinity Q Diversified Alpha Fund Investor Class (IQDAX), due to the recommendations of brokers. In a recent article in InvestmentNews, they stated that the $1.8 billion fund has halted redemptions by investors due to the alleged portfolio […]

On February 19, 2021, SCOTT WAYNE REED (SCOTT W REED) CRD#: 3007033, a former broker from Wells Fargo of Scottsdale, Arizona, was barred by FINRA for allegedly selling away from the firm. Without admitting or denying FINRA’s findings, SCOTT WAYNE REED consented to the sanction and to the entry of findings that he allegedly participated […]

Securities Broker Scott Williams (Raymond James, LPL Financial) Involved In Investor Disputes Soreide Law Group provides you with this Investor Alert in regard to securities broker Scott D. Williams (CRD#: 2330693, Franklin Tennessee). Notably, the Financial Industry Regulatory Authority (“FINRA”) reports that the securities broker, who worked for firms Raymond James (2011 to 2017) and […]