Concorde Broker Robert Smith Allegedly Sold Bad GPB Investments Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports troubling information in regard to securities broker Robert Scott Smith (CRD#: 1412333, Newberg, Oregon). Evidently, Smith worked for securities firm Concorde Investment Services LLC from 2011 to 2020. Namely, clients indicate that Smith might have caused their […]

Morgan Stanley Clients Indicate Laurence Braunstein Sold Unsuitable Investments Soreide Law Group is reviewing potential investor claims against securities broker Laurence Michael Braunstein (CRD#: 1220577, New York, New York). Notably, clients of Braunstein’s brought disputes alleging that he engaged in sales practice violations. It is possible that Braunstein sold investors unsuitable securities. Here’s more. Morgan […]

Madison Avenue Securities Clients Take Aim At Jim Geake Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports through BrokerCheck that investors brought complaints or lawsuits in regard to securities broker James “Jim” Andrew Geake (CRD#:2629008, Skokie, Illinois). Notably, investors brought eight disputes, at least half of which are from 2018 or later. If these […]

Investors Suggest Losses Caused By Rita Mansour The investment loss lawyers at Soreide Law Group are reviewing possible investor disputes against Rita Mansour (CRD#: 1968418, Toledo, Ohio). Namely, Mansour is a securities broker and financial advisor for McDonald Partners LLC. Evidently, four investors contend that their losses are attributable to Mansour’s sales practice violations. Here’s […]

A FINRA arbitration has been filed on behalf of the Claimant against: WELLS FARGO CLEARING SERVICES, LLC. (Respondent) The Claimant is retired and living in Maryland. The lawsuit states that the Respondent’s former Financial Advisor, HERBERT LEE WEITH IV (Herbert L Weith), allegedly advised the Claimant that he had developed a financial plan to provide […]

Soreide Law Group, a Florida-based law firm, has been contacted by investors who may have experienced losses in GPB Capital due to the recommendations of broker/investment advisor: DAVID JON ZUPEK (CRD#: 2250376) Currently, DAVID JON ZUPEK is registered, both as a broker and financial advisor with CONCORDE INVESTMENT SERVICES, LLC, and CONCORDE ASSET MANAGEMENT, LLC, […]

On October 19, 2020, the Financial Industry Regulatory Authority Inc. (FINRA) fined the former Sage Point Financial of Omaha, Nebraska, broker TROY ROBERT BAILY (TROY R BAILY) CRD#: 4458930, $5,000 and suspended him for six months for the alleged undisclosed and unapproved sale of private securities. According to the FINRA report, without admitting or denying […]

FREDERICK MARKLEY STOW (CRD#: 864436), a former broker and vice president with Raymond James & Associates, Inc. of Franklin, Tennessee, was charged on June 11, 2020, in a Nashville federal court for the Middle District of Tennessee, with three counts of wire fraud, one count of identity theft and one count of securities fraud. They […]

LAUREN L WING (also known as: LAUREN LEE WING, LAUREN WINGYEE) CRD#: 5803987, a broker formerly with JP Morgan Securities of Los Angeles, was fined $5000.00 and suspended for one month by FINRA for allegedly trading in a senior client’s account without authorization. According to the September 10, 2020, FINRA report, without admitting or denying […]