Securities Broker John Kellar Might Have Caused Investor Losses Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports six investor disputes on the BrokerCheck report of securities broker John P. Kellar (CRD#: 1436046, Naples, Florida). Namely, investors who brought disputes indicate that Kellar, who presently works for Wells Fargo, seemingly sold unsuitable investments causing losses. […]

Broker Laurence Torres Faces Sanctions, Investor Lawsuits Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) BrokerCheck contains 11 critical disclosures concerning securities broker Laurence "Larry" Michael Torres (CRD#: 2821373, Staten Island, New York). Among them are FINRA and SEC sanctions which effectively prevent Torres, who worked for First Standard Financial Company LLC and Alexander Capital […]

Investacorp's Frank Richardson Supposedly Sold Bad Alternative Investments Soreide Law Group provides you this investor alert update in regard to securities broker William Franklin “Frank” Richardson Jr. (CRD#: 721293, Houston, Texas). Particularly, there are at least six investors who have challenged Richardson’s sales practices. It appears from these disputes that Richardson might have caused clients […]

First Allied's Kyle Franklin The Focus Of Investor Dispute The Financial Industry Regulatory Authority (“FINRA”) reports troubling information regarding Kyle R. Franklin (CRD#: 1255175, Roseville, California). Evidently, Franklin, who worked as a securities broker for First Allied Securities Inc. from 2013 to 2017 and Hilltop Securities Inc. from 2017 to 2019, is involved in three […]

Securities Broker Christopher Swan Involved In Investor Disputes Financial industry Regulatory Authority (“FINRA”) reports that investors have filed disputes or lawsuits against securities broker Christopher Allan Swan (CRD#: 5810132, Irving, Texas). Notably, two investors brought disputes between 2019 and 2020 which are summarized below. BB&T Investments Client Indicates Christopher Swan Made Unauthorized Mutual Fund Transactions […]

Broker Jeffrey Weiner's Sales Practices Questioned By MSI Clients Investor alert! Soreide Law Group provides you this update on investor disputes brought against securities broker Jeffrey Paul Weiner (CRD#: 2476604, New York, New York). Evidently, Weiner maintained an association with MSI Financial Services through 2017. He also worked for firms including MML Investors Services (2017 […]

Dustin Blount Barred, Involved In Lawsuits The investment loss recovery lawyers at Soreide Law Group provide you this investor alert in regard to securities broker Dustin M. Blount (CRD#: 5267680, Vicksburg, Mississippi). Notably, FINRA reports that it has indefinitely barred the securities broker, who worked for firms including Northwestern Mutual Investment Services (“NMIS”) from 2012 […]

Investors Indicate Alternative Investments Misrepresented Financial Industry Regulatory Authority (“FINRA”) reports troubling allegations of sales practice violations by securities broker Ray Gene Reese (CRD#: 1694620, Farmington, Missouri). Namely, five or more investors brought investment disputes to recover losses supposedly caused by Reese, who has worked for Money Concepts Capital Corp since 1997. Here’s more on […]

BrokerCheck Reports Disputes About George Nikolakakos For Advice Soreide Law Group is investigating the advancement of certain lawsuits against securities broker George Nikolakakos (CRD#: 2907561, Omaha, Nebraska). Critically, five investors brought disputes which suggest that the broker caused their investment losses. Here’s what we know so far. Four Points Client Indicates George Nikolakakos Provided Unsuitable […]