First Allied Client Indicates That Broker Mike Azad Caused Investment Losses Soreide Law Group has come across information suggesting that one or more investors filed disputes about First Allied Securities broker Masood Hussain “Mike” Azad (CRD#: 4798445, League City, Texas). Namely, BrokerCheck confirms that FINRA investigated Azad after First Allied disaffiliated with him for allegedly […]

Broker Steve Netzel Allegedly Recommended Unsuitable Alternative Investments Soreide Law Group is reviewing possible claims of unsuitable sales or recommendations by securities broker Steve Netzel (CRD#: 2863170, Sun Lakes, Arizona). Namely, at least one client of Kalos Capital challenged Netzel’s investment recommendations suggesting that he gave bad advice. Also, Arizona Corporation Commission censured him from […]

There is yet another legal dispute looming over GPB Capital Holdings, which raised $1.5 billion from investors through the sale of high-commissioned, high-risk private placements, writes Bruce Kelly in a recent InvestmentNews article.  This dispute is over the control of the Volkswagen's auto dealerships that GPB purchased. Volkswagen of America Inc. filed an amended complaint […]

FINRA Issues Indefinite Suspension To David Rockwell The Financial Industry Regulatory Authority (“FINRA”) reports that it indefinitely suspended David Rockwell (CRD#: 4236377, Fort Myers, Florida). It appears that Rockwell failed to respond to requests for information that FINRA made in 2019. BrokerCheck shows that his suspension started on December 16, 2019 and may convert to […]

New Jersey Bureau Of Securities Revokes Broker Maria Tamburro's Securities Agent License Soreide Law Group is looking into potential investor disputes against securities broker Maria Tamburro [CRD#: 5977689, Florham Park, New Jersey]. Mainly, New Jersey Bureau of Securities revoked her securities agent license and FINRA barred her for unauthorized trading. Tamburro, who most recently worked […]

Tavenner Company Broker Dean Mings Allegedly Sold Bad Annuities Soreide Law Group is investigating possible investor claims about investment losses attributable to the securities business of broker Dean Mings [CRD#: 1197212, Springfield, Ohio]. Supposedly, the broker, who worked for Tavenner Company between 2002 and 2018, reports that the company disaffiliated with him for an outside […]

Clients Suggest Kyusun Kim Gave Bad Advice Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) shows troubling information in regard to securities broker Kyusun Kim [CRD#: 2864085, San Diego, California]. Supposedly, at least 23 clients took issue with the securities broker, who worked for Independent Financial Group from 2006 to 2016 and then worked for […]

Clients File Disputes About Invest Financial's Eric Stuckey Clients are coming forward with disputes concerning Eric Stuckey [CRD#: 2445666, Suwanee, Georgia]. Notably, the securities broker, who associated with Invest Financial Corporation from 2009 to 2018, discloses 5 customer disputes about him on Financial Industry Regulatory Authority (“FINRA”) BrokerCheck. Notably, Invest Financial clients indicate in these […]

Clients Indicate Kalos Capital Broker Eric Weschke Sold Bad BDCs and GPB Funds Soreide Law Group is looking into potential investor disputes against securities broker Eric Weschke [CRD#: 2486324, Setauket, New York]. Supposedly, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck shows that at least 14 clients took issue with the securities broker, who joined Kalos Capital […]