Latest Securities Lawyer News

Securities Broker Herbie Greene Involved In National Securities Corporation Investor's Suitability Dispute Soreide Law Group has news on securities broker James Lee Greene (“Herbie Greene”) (CRD#: 2974053, Boca Raton, Florida). Evidently, he worked for firms Ameriprise (1998 to 2006), First Command Financial Planning (2007 to 2018), National Securities Corporation (2018 to 2022), and B. Riley […]

National Securities Corp Clients Allege Misrepresentation And Excessive Trading, According To Disputes About Carter Mansbach Financial Industry Regulatory Authority (“FINRA”) BrokerCheck contains new information regarding securities broker Carter David Mansbach (CRD#: 2275878, New York, New York). Notably, two investors filed disputes regarding the securities broker. Evidently, these disputes relate to Mansbach’s actions when employed by […]

Benchmark Investments Parts Ways With Broker John Roberts Over Misconduct Allegations The Financial Industry Regulatory Authority (FINRA) reports that Benchmark Investments terminated its arrangement with Roberts (CRD#: 1226665, Stockbridge, Georgia) as a securities broker amid misconduct allegations. It appears that two other firms also parted ways with Roberts, and a client lodged a dispute about […]

Morgan Stanley Clients Voice Complaints Regarding Jim Drigger's Investment Recommendations Investors appear to have filed disputes involving securities broker James Yang Driggers (“Jim Driggers”) (CRD#: 1359593, Sarasota, Florida). Specifically, Driggers, who worked for Morgan Stanley from 2008 to 2021, is involved in disputes where clients allege sales practice violations. Let’s take a closer look at […]

Raymond James Client's Suitability Dispute Reportedly Involves Broker Bill Conn Financial Industry Regulatory Authority (FINRA) provides new information in regard to securities broker William Joseph Conn (“Bill Conn”) (CRD#: 1477107, San Francisco, California). Specifically, three investors filed disputes about the securities broker, who worked for Salomon Smith Barney and Raymond James. Here’s more on the […]

Clients Of GF Investment Services Bring Suitability Disputes About Andrew Greer Soreide Law Group comes to you with new information in regard to securities broker Steven Andrew Greer (CRD#: 5976309, Charlotte, North Carolina). Namely, two investors filed disputes about the securities broker. Allegations include unsuitable investment transactions by Greer at GF Investment Services LLC, a […]

SII Investments Clients Allege Unsuitable Transactions By Financial Advisor Robert Fross Soreide Law Group comes to you with important information concerning securities broker Robert C. Fross (CRD#: 4509851, The Villages, Florida). Namely, the securities broker and financial advisor, who worked for SII Investments Inc. (2007 to 2018) and LPL Financial (2018 to present), is involved […]

Woodbury Financial Clients Allege Sales Practice Violations By Broker Peter David The Financial Industry Regulatory Authority (FINRA) BrokerCheck contains important information regarding securities broker Peter Werner David (CRD#: 1133608, Waukesha, Wisconsin). Namely, David, who worked for Woodbury Financial Services from February 2009 to July 2018, is involved in two client disputes. Notably, investors allege sales […]

According to FINRA’s BrokerCheck, PETER N GIRGIS (CRD#: 4520444) was fined $7,500.00, suspended  in all capacities for 9 months (1/3/2022 - 10/2/2022), and ordered to pay $169,677.00 in restitution by FINRA. Girgis is currently registered with SW Financial, New York, NY, since 12/10/2019. Without admitting or denying FINRA’s findings, PETER N GIRGIS consented to the […]