Investors have reportedly disputed the sales practices of securities broker Christopher William Duffy [CRD: 2515612, Red Bank, New Jersey], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Duffy worked for Morgan Stanley as a securities broker beginning June 1, 2009, and as a financial advisor with the firm starting March 3, […]

FINRA barred securities broker Christopher James Christensen [CRD: 7680869, Issaquah, Washington], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Christopher Christensen worked for Airlink Markets LLC from October 18, 2023, to March 20, 2024. Investors are encouraged to review this article to learn more about Christopher Christensen’s regulatory history and disclosures. FINRA Sanctioned […]

Investors potentially experienced sales practice violations by securities broker Ann Louise Werts (also known as Ann Louise Gilmore, Ann Louise Howard, and Ann Louise Vanderslice) [CRD: 5057784, Denver, Colorado], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Werts worked for Cabot Lodge Securities LLC from July 12, 2013, to April 13, […]

Investors apparently complained about securities broker Alfonso E. Figueroa-Bello [CRD: 5011909, New York, New York], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Alfonso Figueroa-Bello worked for Tigress Financial Partners LLC from December 14, 2017, to August 17, 2022, and later for Stonecrest Capital Markets Inc. from August 17, 2022, to […]

Soreide Law Group is investigating potential investor claims involving sales practice violations by securities brokers and financial advisors related to Apex South Creek DST. Apex South Creek DST is a Delaware Statutory Trust real estate investment that was marketed nationwide, frequently to investors completing Section 1031 exchanges, as a passive and income-oriented opportunity tied to […]

Soreide Law Group is investigating potential investor claims involving possible sales practice violations by securities brokers and financial advisors connected to Trenton – Black River IV LP. This investment is a private oil and gas drilling partnership that was sold to investors looking for alternative, energy-related opportunities outside the public markets. Public filings and other […]

Soreide Law Group is investigating potential investor claims involving alleged sales practice violations by securities brokers and financial advisors in connection with Resource Anadarko Royalties LLC. Resource Anadarko Royalties LLC is a private oil-and-gas investment offering focused on mineral and royalty interests, a type of product frequently promoted as an income-generating alternative investment. There is […]

Soreide Law Group is investigating potential investor claims involving possible sales practice violations by securities brokers and financial advisors. Resource Royalty XVII LLC is a private oil and gas mineral rights offering that was marketed to investors as an income-oriented energy investment tied to royalty interests. This type of product is often promoted as a […]

Soreide Law Group is investigating potential investor claims involving possible sales practice violations by securities brokers and financial advisors in connection with Iron Oak Minerals LLC. Iron Oak Minerals LLC is a private oil and gas–related investment that raised millions of dollars from investors through a Regulation D private placement, making it significant for investors […]