Broker Ed Matthes Reportedly Pleads Guilty To Wire Fraud The investment loss recovery team at Soreide Law Group brings you this Investor Alert in regard to barred securities broker Edward “Ed” Earl Matthes (CRD#: 2788055, Oconomowoc, Wisconsin). Evidently, Matthes worked for securities firms including Thrivent Investment Management and Mutual of Omaha Investor Services. Notably, Matthes […]

Numerous DH Hill Clients Allege Bad Advice In Disputes About Charles Stevens The Financial Industry Regulatory Authority (“FINRA”) charged Charles Thomas Stevens (CRD#: 1698058, St. Augustine, Florida) with violating FINRA rules. Not only that, but the securities broker, who worked for DH Hill Securities from 2006 to 2020, is involved in five investor disputes. These […]

Securities Broker Sam Aziz Allegedly Made Excessive, Unsuitable Trades In Wells Fargo Investor Accounts Investor Alert! FINRA BrokerCheck shows that investors brought lawsuits alleging sales practice violations by barred broker Sam Aziz (Sam Yehya, Sam Azizieh) (CRD#: 1721932, Dublin, Ohio). Evidently, Aziz worked for Wells Fargo (2012 to 2015), Coastal Equities (2015 to 2018) and […]

BARRY FRANKLIN CONNELL (BARRY F CONNELL) CRD#: 3070984, according to a recent article in Financial Advisor IQ, was barred by the SEC on Jan. 5, 2021, for stealing millions of dollars from clients.  Connell, a former financial advisor from Morgan Stanley of Ridgewood, New Jersey, was additionally sentenced to three years in prison. BARRY F […]

Clients File Investment Disputes About Broker Joel Lansat The investment loss recovery team at Soreide Law Group provides you with this Investor Alert concerning securities broker Joel Lansat (CRD#: 1623241, Palm Beach Gardens, Florida). FINRA BrokerCheck, which houses information about securities brokers, indicates that three investors challenged Lansat’s sales practices. Let’s take a look at […]

Soreide Law Group has filed a FINRA arbitration on behalf of their client (Claimant) against: NTB FINANCIAL CORPORATION (Respondent) The Claimant, who resides in Arizona and maintained investments with the Respondent at all times relevant, brings this action to recover alleged losses while maintaining an investment relationship with NTB FINANCIAL and its Financial Advisor, Henry […]

Breach Of Fiduciary Duty Alleged In Dispute About William Randall Soreide Law Group is examining possible investor lawsuits against securities broker William Perry Randall (CRD#: 1392233, Rockford Illinois). The Financial Industry Regulatory Authority (“FINRA”) reports that at least two investors disputed Randall’s sales practices. These disputes raise allegations of breach of fiduciary duty and suitability. […]

Broker Shahida Hossain Terminated From RBC, Involved In Wells Fargo Investor Disputes Soreide Law Group provides you with this Investor Alert in regard to securities broker Shahida Arunima Hossain (CRD#: 2783839, Chicago, Illinois), who also goes by the name Shahida Syeda. Just in May 2020, RBC Capital Markets disaffiliated with the broker. In addition, two […]

Berthel Fisher Clients Indicate That Broker Farrukh Kazmi Sold Bad Alternative Investments The investment loss recovery team at Soreide Law Group provides you with this Investor Alert regarding Farrukh Shazad Kazmi (CRD#: 2855915, Moorestown, New Jersey). Evidently, this securities broker joined Berthel Fisher & Company (“Berthel Fisher”) in January 2010. Notably, FINRA BrokerCheck shows that […]