Soreide Law Group obtained the following information from FINRA’s website, which is available to the public, under “Disciplinary and Other FINRA Actions March 2010.” John Joseph Cahill (CRD #1240551, Mahwah, New Jersey) According to the FINRA report, an Acceptance, Waiver and Consent (AWC) was issued in which John Joseph Cahill was barred from association with […]

Berthel Fisher's Alvery Bartlett Allegedly Sold Bad Alternative Investments Soreide Law Group is reviewing possible investor claims against securities broker Alvery Anthony Bartlett Jr. (CRD#: 13975, Saint Louis, Missouri). Notably, Financial Industry Regulatory Authority ("FINRA") BrokerCheck shows that at least 3 clients raised serious concerns about the securities broker, who worked for Berthel Fisher Company […]

Soreide Law Group, based in Florida, obtained the following information on the former Florida broker from FINRA’s website under, “Disciplinary and Other FINRA Actions March 2020:” Gabriel William Hynes (GABE HYNES) (CRD #3152541, Saint Augustine, Florida) According to the FINRA report, an Acceptance, Waiver, and Consent (AWC) was issued in which Gabriel William Hynes was […]

Broker Benjamin Bourgeois Allegedly Converted Funds From LPL Financial Client Investor Alert! The Financial Industry Regulatory Authority ("FINRA") reports alarming allegations of improprieties by securities broker Benjamin Frank Bourgeois Jr. (CRD#: 2145555, Metairie, Louisiana). Notably, no less than 4 clients contested the securities recommendations or sales of the securities broker, who worked for Commonwealth Financial […]

LPL Broker Kevin Kuhlow Supposedly Caused Clients' Losses On Private Placements Soreide Law Group is investigating potential lawsuits against LPL Financial and securities broker Kevin Joseph Kuhlow (CRD#: 1993792, Los Gatos, California). Evidently, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck reports that 9 clients opposed actions taken by the securities broker, who associated with LPL Financial […]

Raymond James Broker John Howard Allegedly Sold Bad REITs Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) indicates through BrokerCheck that investors filed disputes about John Troy Howard (CRD#: 2264121, Birmingham, Alabama). The securities broker, who joined Raymond James & Associates, Inc. on February 13, 2013, allegedly breached a fiduciary duty to his clients and […]

Kalos Broker Joepat Roop Allegedly Sold Unsuitable BDCs, REITs Soreide Law Group wants to know if you sustained losses through investing with Joseph Patrick “Joepat” Roop (CRD#: 2774470, Belmont, North Carolina). Roop is a securities broker who joined Dempsey Lord Smith, LLC in July 2019 after a 10-year stint at Kalos Capital. Notably, Financial Industry […]

Broker Rodney Potratz Allegedly Caused Investor To Lose Millions The Financial Industry Regulatory Authority (“FINRA”) reports troubling allegations of sales practice violations by Rodney D. Potratz (CRD#: 2367896, Clive, Iowa). Apparently, the securities broker, who joined FSC Securities Corporation in 2003 and who works in its California and Iowa offices, is subject of two investor […]

FSC Broker Lee Kramer Identified In Investor's Suitability Dispute Soreide Law Group is reviewing potential investor claims against FSC Securities Corporation broker Lee R. Kramer (CRD#: 1465416, Frederick, Maryland). Notably, FINRA BrokerCheck reports that the securities broker, who joined FSC Securities Corporation in March 2005, was recently accused of giving bad advice to an investor. […]