Latest Securities Lawyer News

On July 6, 2021, JOHN HENRY SWON IV (JOHN SWON) CRD#: 5591686, formerly with ROYAL ALLIANCE ASSOCIATES INC of Bloomington, Minnesota, was barred by FINRA from acting as a broker or otherwise associating with a broker/dealer firm.  John Swon was previously registered both as a broker and as an investment advisor. Without admitting or denying […]

Securities Broker Al Westbrook Receives Suspension, Fine From FINRA For Allegedly Selling Away Soreide Law Group provides you with the following update regarding securities broker John Albert “Al” Westbrook (CRD#: 1846059, McDonough, Georgia). Specifically, Westbrook, who worked for Center Street Securities (2014 to 2020), faced sanctions from FINRA for his alleged private securities transactions. In […]

Investors File Disputes About Securities Broker Jeff Meyers The Financial Industry Regulatory Authority (“FINRA”) reports six disclosures on the BrokerCheck record of securities broker Jeffrey “Jeff” Gerard Meyers (CRD#: 2192759, Overland Park, Kansas). One of these disputes concerns Meyers’ sales practices at Cetera Advisor Networks, where he works as a securities broker since 2019. It […]

BBVA, Chase Clients File Disputes About Securities Broker Brian Bates The Financial Industry Regulatory Authority (“FINRA”) reports that investors filed disputes about Brian Robert Bates (CRD#: 2318413, Chandler, Arizona). Evidently, Bates presently works for BBVA Securities as securities broker, and he works for PNC Managed Account Solutions as financial advisor. Let’s take a closer look […]

SagePoint Investor's Suitability Dispute About Securities Broker Joseph Tonyan The investment loss recovery counsel at Soreide Law Group provide you with this update in regard to SagePoint Financial Inc. securities broker Joseph William Tonyan (CRD#: 1252187, Springfield, Missouri). Specifically, FINRA shows that two investors filed disputes about the securities broker. Not only that, but one […]

Kovack Securities Investors Reportedly Dispute The Sales Practices Of Broker Gerald O'Halloran Soreide Law Group has new information to share with you in regard to securities broker Gerald James OHalloran (CRD#: 1056697, Punta Gorda, Florida). It appears that O’Halloran worked for a number of securities firms including Kovack Securities (2004 to 2018) and Union Capital […]

Securities Broker Abdul Rahmani Faces FINRA Disciplinary Action Financial industry Regulatory Authority (“FINRA”) shows new investor-related information on BrokerCheck in regard to securities broker Abdul Matin Rahmani (CRD#: 4269583, Mineola, New York). Specifically, FINRA brought a disciplinary action against Rahmani for alleged violations of FINRA rules. Also, Rahmani’s employment ended with SW Financial following allegations […]

Investors File Disputes About Morgan Stanley, RBC Securities Broker Anthony Dacruz Soreide Law Group provides you with new information regarding securities broker Anthony Edward Dacruz (CRD#: 1259435, New York, New York). According to FINRA BrokerCheck, Dacruz, who is a Morgan Stanley financial advisor and securities broker (2011 to present), is involved in three investor disputes […]

Joseph Gunnar Clients File Disputes About Securities Broker Matt Gates The investment loss recovery counsel at Soreide Law Group provide you with the following FINRA BrokerCheck details regarding securities broker Matthew “Matt” Gates (CRD#: 4727945, New York, New York). It appears that Gates worked for securities firm Joseph Gunnar Co. LLC (2009 to 2020) as […]