Casey J Kemerly (Also known as: Casey James Kemerly, Casey Kemerly) CRD#: 4707270, a 38 year-old former financial advisor, was arrested on October 5, 2020, in Virginia on charges of forgery, identity deception, and theft, according to the Indiana State Police. According to an article in the IndyStar, Casey J Kemerly, of Lee County, Virginia, […]

Soreide Law Group is investigating claims from investors who have suffered losses due to the recommendations of Connecticut broker/investment advisor currently with CENTER STREET SECURITIES of Stratford, Connecticut: ROY ALVIN WILLIAMS SR (CRD#: 1069297) According to FINRA’s BrokerCheck, which is available to the public on FINRA’s website, ROY ALVIN WILLIAMS SR, has 8 Disclosures on […]

Soreide Law Group obtained the following information on FINRA’s website under, “Disciplinary and Other FINRA Actions, September 2020." LEONARD JOSEPH MARZOCCO (Also known as: LEN MARZOCCO JR, LENNY MARZOCCO JR, LEONARD JOSEPH MARZOCCO III, LEONARD JOSEPH MARZOCCO JR) (CRD #3106494, Nesconset, New York) On July 1, 2020 an Acceptance, Waiver, and Consent (AWC) was issued […]

CHRISTOPHER A REID (CRD#: 2341418) was fined $5,000.00 and suspended in all capacities for four months, beginning August 17, 2020, ending on December 16, 2020, by FINRA. Reid was formerly with Morgan Stanley of Marlton, New Jersey. According to the FINRA report dated August 20, 2020, without admitting or denying FINRA's findings, CHRISTOPHER A REID […]

Did You Purchase Braddock Multi-Strategy Income Fund? Investor alert! If you purchased Braddock Multi-Strategy Income Fund Institutional Class (NASDAQ: BDKNX), then you might have sustained big losses. Notably, the investment loss recovery attorneys at Soreide Law Group are closely reviewing the alarming financial performance of this Fund, which is down more than 33% year to […]

Barred Broker Jim Flynn Involved In Investor Disputes Droves of investors are filing disputes about securities broker James “Jim” Flynn (CRD#: 3082615, Greenville, South Carolina). Notably, the securities broker has a whopping 64 disclosures on his record via Financial industry Regulatory Authority (“FINRA”), nearly all of which are investor disputes. The securities broker, who worked […]

FINRA Suspends Dawson James' Mack Miller For Unsuitable Trading Soreide Law Group provides you this investor alert in regard to securities broker Mack Leon Miller (CRD#: 2822317, New York, New York). Apparently, FINRA issued a suspension and a fine to Miller for unsuitable trading. Not only that, but three of Miller’s clients disputed his sales […]

Northwestern Mutual Client Files Dispute About Chad Mackland The Financial Industry Regulatory Authority (“FINRA”) reports troubling information about securities broker Chad Mackland (CRD#: 4933804, Council Bluff, Iowa). Apparently, a client of Mackland’s at Northwestern Mutual investment Services sued over his sales practices. In addition, Mackland’s Omaha, Nebraska employers – MassMutual and Northwestern – both have […]

Broker John Fulton Supposedly Misrepresented Investments To UBS Clients Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) shows that four or more investors brought complaints or lawsuits against securities broker John Seiberling Fulton (CRD#: 2481439, West Palm Beach, Florida). Apparently, these investors suggest that Fulton, who has worked for UBS Financial Services since 2002, caused […]