Latest Securities Lawyer News

Morgan Stanley's Francisco Valenzuela Targeted In Investor Disputes Soreide Law Group is investigating whether to bring investor disputes against securities broker Francisco Javier Valenzuela (CRD#: 2786970, Tucson, Arizona). Namely, the securities broker, who worked for major securities firms including Merrill Lynch (2010 to 2015) and Morgan Stanley (2015 to 2018), currently has seven disclosures on […]

Broker Randy Birkinbine Is Involved In Investor Dispute Alleging Unsuitable Transactions Investors continue to come forward in dispute of securities broker Randy Lee Birkinbine (CRD#: 2008599, North Oaks, Minnesota). Namely, Birkinbine, who presently works as a broker and financial planner of Ausdal Financial Partners, discloses four investor disputes. Notably, his clients allege that he committed […]

Barred Broker Andre LaBarbera Accused Of Unsuitability, Churning The Financial Industry Regulatory Authority (“FINRA”) BrokerCheck contains alarming information in regard to securities broker Andre Vincent LaBarbera (CRD#: 2072370, Dix Hills, New York). Specifically, the securities broker, who worked for securities firms including Newport Coast Securities, IFS Securities and Titus Rockefeller, is involved in at least […]

RHETT DOUGLAS BEDWELL (RHETT BEDWELL) CRD#: 5664392, was barred by FINRA from acting as a broker or otherwise associating with a broker-dealer firm.  On March 2, 2021, without admitting or denying FINRA’s findings, RHETT BEDWELL consented to the sanction and to the entry of findings that he allegedly refused to produce information and documents requested […]

FINRA Looking Into Suitability Of Broker John Cangialosi's Investment Recommendations Soreide Law Group is evaluating whether to file investment disputes against John Sebastion Cangialosi (CRD#: 3273830, New York, New York). This securities broker, who worked for Legend Securities (2013 to 2016), Worden Capital Management (2016 to 2019) and SW Financial (2019 to present), has troubling […]

Securities Broker William Athas Under FINRA Investigation Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) announced that it is investigating securities broker William Nicholas Athas (CRD#: 3165470, Melville, New York) as of September 2020 to determine if he sold unsuitable investments and churned his clients’ accounts. It is unclear whether this relates to Athas’s employment […]

Oppenheimer Broker David Krumrey Allegedly Caused Investor Losses The investment loss recovery team at Soreide Law Group provides you with this Investor Alert in regard to securities broker David Wayne Krumrey (CRD#: 4121845, The Woodlands, Texas). The securities broker, who worked for Oppenheimer from 2009 to 2017, is targeted in at least 6 investor disputes. […]

Broker Trevor Rahn Targeted In JP Morgan Securities Investors' Disputes Soreide Law Group is investigating potential investor disputes to be filed against securities broker Trevor Bradner Rahn (CRD#: 2196155, Los Angeles, California). Evidently, this securities broker worked for securities firm JP Morgan Securities LLC from 2010 to 2018 until they disaffiliated with him over his […]

Investment Disputes Allege That Ken Hutkin Made Unsuitable Trades Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports troubling information in regard to securities broker Kenneth Marc Hutkin (CRD#: 1344519, New York, New York). Particularly, four investors filed disputes about the securities broker, who worked for Morgan Stanley from 2010 to 2018 and now works […]