Latest Securities Lawyer News

Broker Alex Herrera Is Barred By FINRA, Involved In Investor Disputes The Financial Industry Regulatory Authority (“FINRA”) reports troubling information in regard to securities broker Alex Gerardo Herrera (CRD#: 3204779, Coral Gables, Florida). Notably, FINRA BrokerCheck confirms that at least three investors filed disputes alleging sales practice violations by the securities broker, who worked for […]

Primex's Wilfredo Felix Is Barred By FINRA, Found Liable In Investor Dispute Soreide Law Group is evaluating possible investor claims to be brought against former Primex securities broker Wilfredo Felix Jr. (CRD#: 2693672, New York, New York). Notably, his FINRA BrokerCheck report contains alarming disclosures. This includes FINRA’s decision to bar Felix for seemingly impeding […]

Soreide Law Group is investigating client losses in Infinity Q Capital Management LLC (Infinity Q), and in particular, Infinity Q Diversified Alpha Fund Investor Class (IQDAX), due to the recommendations of brokers. In a recent article in InvestmentNews, they stated that the $1.8 billion fund has halted redemptions by investors due to the alleged portfolio […]

On February 19, 2021, SCOTT WAYNE REED (SCOTT W REED) CRD#: 3007033, a former broker from Wells Fargo of Scottsdale, Arizona, was barred by FINRA for allegedly selling away from the firm. Without admitting or denying FINRA’s findings, SCOTT WAYNE REED consented to the sanction and to the entry of findings that he allegedly participated […]

Securities Broker Scott Williams (Raymond James, LPL Financial) Involved In Investor Disputes Soreide Law Group provides you with this Investor Alert in regard to securities broker Scott D. Williams (CRD#: 2330693, Franklin Tennessee). Notably, the Financial Industry Regulatory Authority (“FINRA”) reports that the securities broker, who worked for firms Raymond James (2011 to 2017) and […]

Centaurus Broker Marc Korsch Possibly Sold Bad Investments The Financial Industry Regulatory Authority (“FINRA”) reports troubling information in regard to securities broker Marc F. Korsch (CRD#: 5525226, Sarasota, Florida). Namely, this securities broker, who worked for Trustmont Financial Group Inc. (2011 to 2014) and Centaurus Financial Inc. (2014 to 2021), is involved in investor disputes […]

Soreide Law Group is currently investigating claims against the broker/investment advisor, currently listed with Morgan Stanley of Beverly Hills, California: BARRY MARTIN SPEYER CRD#: 432002 According to FINRA’s BrokerCheck, available to the public on FINRA’s website, BARRY MARTIN SPEYER has been in the securities industry for 50 years.  Speyer has 9 “Disclosures” on his FINRA […]

Securities Broker Kinan Nimeh Involved In Investor Disputes About Suitability, Excessive Trading The Financial Industry Regulatory Authority (“FINRA”) reports troubling information in regard to securities broker Kinan Nimeh (CRD#: 4438900, New York, NY). Specifically, the securities broker, who worked for firms Rockwell Global Capital (2011 to 2015), McBarron Capital LLC (2015 to 2016), CV Brokerage […]

Securities Broker Jim Allen Involved In Suitability Disputes Soreide Law Group is reviewing whether to bring possible investor lawsuits against James “Jim” Allen (CRD#: 2287824, Chicago, Illinois). The securities broker worked for Citigroup Global Markets (2007 to 2017), Sanctuary Securities (2017 to 2020) and Oppenheimer (2020 – present). Evidently, two investors brought investment disputes about […]