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January 27, 2025
Jason Lowther Facing Allegations of Unsuitable Recommendations

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Jason Lowther (also known as Jason Smith) [CRD#: 2606268, Ann Arbor, Michigan]. Jason Lowther has over 27 years of experience in the securities industry and is currently employed by Concorde Investment Services, LLC, where he has worked since September 2021. He previously worked for […]

January 27, 2025
DANNY RAY STRAIN of CAPE SECURITIES

DANNY RAY STRAIN (DAN STRAIN) is currently registered with CAPE SECURITIES INC of Columbus, Georgia since 2008 as a broker, and 2009 as an investment advisor with CAPE INVESTMENT ADVISORY INC, also of Columbus, Georgia. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, DANNY RAY STRAIN has been in the securities industry […]

January 26, 2025
Adam Jacobs Facing Allegations of Misconduct at Oppenheimer & Co. Inc.

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Adam Ryan Jacobs [CRD: 4990788, Beachwood, Ohio]. Adam Jacobs has been employed with Oppenheimer & Co. Inc. since January 23, 2009. He has spent over 15 years with the firm and currently serves as a financial advisor in its Beachwood, Ohio branch. Recent disclosures […]

January 25, 2025
Rodney Rich Faces Allegations at Ameriprise Financial

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Rodney Wayne Rich Jr. (also known as Rod Rich Jr., Rodney W. Rich, Rodney Rich) [CRD: 714642, Bellevue, Washington]. Rodney Rich Jr. has been registered with Ameriprise Financial Services, LLC, since April 29, 2016. Recent disclosures reveal concerns about Rich’s conduct, including allegations involving […]

January 25, 2025
Brittani Schaefer Facing Allegations of Unsuitable Investments at Arete Wealth Management

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Brittani Corren Schaefer (also known as Brittani Corren Cooper) [CRD#: 6327801, St. Louis, Missouri]. Brittani Schaefer worked for Edward Jones from June 24, 2014, to September 15, 2020, and later joined Arete Wealth Management, LLC, on September 11, 2020, where she remained until May […]

January 24, 2025
JUSTIN TEX ROBERTO Formerly of MML Investors

JUSTIN TEX ROBERTO was previously registered as a broker and is currently registered as an investment advisor.  Roberto was discharged from MML INVESTORS SERVICES LLC of Virginia Beach, Virginia. According to FINRA’s BrokerCheck, there is an “Employment Separation after Allegations” listed on JUSTIN TEX ROBERTO’s FINRA CRD report dated October 9, 2024. The allegations listed […]

January 24, 2025
Gaylord Rohloff Facing Allegations of Unsuitability at Western International Securities

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Gaylord Rohloff (also known as Gaylord Rohloff) [CRD#: 1542216, Westlake Village, California]. Gaylord Rohloff has been employed at Western International Securities, Inc. since May 27, 2008. Western International Securities Client Files Pending Complaint Alleging Unsuitability On July 31, 2024, a client of Western International […]

January 23, 2025
ALEX A BARRON Fined and Suspended by FINRA

ARMANDO ALEJANDRO BARRON (ALEX A BARRON), according to a disclosure on FINRA’s BrokerCheck dated January 8, 2025, has been fined $50,000.00 and suspended from acting as a broker for two years, with a start date of 1/21/2025 and an end date of 1/20/2027.  Barron was previously employed by IRC SECURITIES LLC of New York, NY […]

January 23, 2025
Michael Coyne’s FINRA Disclosures and Allegations Overview

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Michael Ryan Coyne (also known as Mike Coyne) [CRD: 4674176, Wheaton, Illinois]. Michael Coyne has been employed with First Trust Portfolios L.P. since September 22, 2015, and First Trust Advisors LP since November 5, 2015. Recent disclosures report 14 client disputes, many alleging improper […]

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