Katalyst Broker Peter Janssen Seemingly Sells Bad Mega Blockchain Investments A couple investors appear to be sounding the alarm in regard to securities broker Peter Kyle Janssen (CRD#: 5691028, Fairfield, IA). Namely, the Financial Industry Regulatory Authority (“FINRA”) reports through BrokerCheck that investors’ disputes suggest sales practice violations by the securities broker, who worked for […]

St. Louis Financial Planner's Thomas Kieffer Supposedly Breached Fiduciary Duty Soreide Law Group is reviewing information from investors who have experienced losses because of Thomas Anthony Kieffer (CRD#: 269086, Chesterfield, Missouri). Namely, the securities broker joined Ceros Financial Services as a securities broker in January 2010. Also, he joined St. Louis Financial Planners Inc. in […]

Financial Advisors Might Have Sold Misrepresented, Unsuitable Investments In Vida Longevity Fund, LP The investment loss lawyers at Soreide Law Group are reviewing possible investor claims against financial advisors who potentially recommended unsuitable or misrepresented investments in Vida Longevity Fund LP which has allegedly declined in value. Namely, this investment has experienced quite a bit […]

PeachCap's Shelley Eddy Supposedly Sold Clients Unsuitable Investments Investor Alert! Investors are bringing lawsuits or complaints about Shelley L. Eddy (CRD#: 4862159, Atlanta, Georgia). In fact, just in 2020 alone, seven investors complained about Eddy’s sales practices suggesting that Eddy caused their losses. Nearly all disputes pertain to Eddy’s actions at PeachCap Securities and PeachCap […]

Mutual Securities Broker Gary Pevey Supposedly Breached His Fiduciary Duty To Investors Soreide Law Group provides this investor alert in regard to Mutual Securities financial advisor or securities broker Gary Pevey (CRD#: 2129469, Sacramento, California). Notably, FINRA BrokerCheck shows that three investors complained about Pevey. These investors suggest that Pevey, who worked for Mutual Securities […]

Expelled Broker Dennis Murphy Allegedly Made Excessive, Unsuitable Trades Soreide Law Group is investigating whether to bring investment related complaints or lawsuits against Monmouth Capital Management securities broker Dennis James Murphy (CRD#: 4840274, Red Bank, New Jersey). Namely, FINRA issued the most severe of sanctions – a bar – to Murphy in May 2020. This […]

Spartan Capital Broker Joe Kelly Purportedly Sells Bad Private Placements Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports troubling information with regard to Spartan Capital Securities broker Joseph “Joe” Kelly (CRD#: 4560737, New York, New York). Notably, there are four investment disputes which have surfaced on Kelly’s record from 2016 to 2020. Supposedly, Kelly […]

FINRA Suspends Broker Brian Harte For Discretionary Trading Soreide Law Group provides you this update in regard to a problem securities broker by the name of Brian Joseph Harte (CRD#: 4780629, Alexandria Virginia). Notably, FINRA suspended the E1 Asset Management securities broker twice. Also, Harte is the target of four investor disputes. All together, these […]

FINRA Issues Sanction To Brian Engstrom For Unsuitable UIT Trades The Financial Industry Regulatory Authority (“FINRA”) reports troubling information in regard to Oppenheimer securities broker Brian Engstrom (CRD#: 1838926, Pensacola, Florida). Not only has the financial industry watchdog sanctioned Engstrom via a three month suspension and $5,000 fine, but Oppenheimer disaffiliated with him following allegations […]