FINRA Bars Charles Euler For Refusing To Testify Investor alert! Financial Industry Regulatory Authority (“FINRA”) BrokerCheck reports 8 disclosures on the record of financial advisor Charles J. Euler (CRD#: 202696, Radnor, Pennsylvania). Notably, the securities broker is highlighted in at least seven disputes alleging sales practice violations. On top of that, FINRA barred Euler because […]

Securities Broker Nick Son Allegedly Sold Or Recommended Unsuitable Investments To Aegis Clients According To Disputes Soreide Law Group provides you this investor alert in regard to securities broker Nick Son (CRD#: 1178523, New York, New York). Notably, the securities broker, who worked for National Securities Corporation and Aegis Capital Corp, is facing disputes from […]

Title goes here Financial Industry Regulatory Authority BrokerCheck contains a number of alarming concerns surrounding the sales practices of financial advisor Kirk Badii (CRD#: 5829768, Los Angeles, California). In summary, five investors brought lawsuits or complaints about the broker, who worked for Cantella (2018 to 2020), Raymond James (2018) and UBS Financial Services (2012 to […]

Broker John Carroll Involved In Berthel Fisher Investors' Disputes The Financial Industry Regulatory Authority (“FINRA”) reports troubling accusations by investors against securities broker John W. Carroll (CRD#: 41769, Maumee, Ohio). Most importantly, four investors brought disputes about the securities broker, who worked for Berthel Fisher from 2005 to 2018 before the firm disaffiliated with him […]

Western International Terminates Broker Stu Godin For Borrowing The investment loss lawyers at Soreide Law Group provide you this investor alert in regard to securities broker Stuart M. Godin (CRD#: 223476, Los Angeles, California). Notably, Stu Godin worked for securities firms including RBC Capital Markets (2006 to 2016), Financial West Group (2016 to 2017) and […]

Broker Dennis Ayre Involved In Disputes Over Foresight Energy Investments Soreide Law Group is investigating possible investor claims to be brought against securities broker Dennis Ayre (CRD#: 5365176, Beverly Hills, California). Notably, seven investors have come forward to dispute the actions of Ayre, who worked for Merrill Lynch, Oppenheimer (2014 to 2017) and Hilltop Securities […]

Broker Jeffrey Broten Barred For Refusing To Comply With Investigators The Financial Industry Regulatory Authority (“FINRA”) reports troubling allegations of sales practice violations by securities broker Jeffrey A. Broten (CRD#: 1006678, Morristown, New Jersey). Broten has worked for National Securities Corporation, First Standard Financial Company and Newbridge Securities Corp. Recently, FINRA barred Broten as a […]

Soreide Law Group has filed a FINRA arbitration on behalf of their clients (Claimants) against, COMMONWEALTH FINANCIAL NETWORK (Respondent). The Claimants reside in Massachusetts and were referred to COMMONWEALTH FINANCIAL NETWORK broker, Joseph Anthony Leonczyk, on or about 2014. The Claimants have put off taking full retirement due to the alleged losses they incurred of […]

Broker Joshua Turney Is Expelled By SEC, FINRA Investor Alert! The Securities and Exchange Commission (SEC) is the latest regulator to bar securities broker Joshua W. Turney (CRD#: 4510219, San Diego, California), who most recently worked for Global Arena Capital Corp. Also, 11 of Turney’s clients contested his sales practices. Here’s more on the incidents […]