MERCER HICKS (MERCER HICKS III, TOBY MERCER HICKS III, TOBY HICKS III) CRD# 245170, was recently named in a complaint filed by the Financial Industry Regulatory Authority’s Department of Enforcement, alleging that Hicks made unsuitable recommendations to five of his senior clients, including three widows, and made high-risk investments that violated FINRA rules and cost […]

Investor Suggests National Securities Corp's Kurt Stein Misrepresented Investments Soreide Law Group is reviewing possible investor claims against securities broker Kurt Stein (CRD#: 3159180, New York, New York). Notably, the Financial Industry Regulatory Authority (“FINRA”) reports that two of Stein’s clients at Merrill Lynch and National Securities Corporation contested his sales practices. These disputes suggest […]

FINRA Suspends Raymond James Broker Michael Hurtgen For Selling Away Investor Alert! Evidently, the Financial Industry Regulatory Authority (“FINRA”) and Wisconsin Office of Commissioner of Insurance have sanctioned securities broker Michael Hurtgen (CRD#: 1742647, Greenwood Village, Colorado). Allegedly, the broker, who worked for Raymond James from 2009 to 2016, engaged in unauthorized private placement activities. […]

Soreide Law Group has filed a FINRA arbitration on behalf of their client (Claimant) against: LPL FINANCIAL LLC (Respondent).  The Claimant, who resides in Texas, maintained an investment relationship with LPL FINANCIAL and its Financial Advisor, Enrique Lopez. Lopez is not named in this lawsuit. The Claimant, the lawsuit alleges, advised LPL FINANCIAL that she […]

Merrill Lynch Clients Take Aim At Broker Jacquin Fink Over Allegedly Unsuitable Trading Investor Alert! FINRA BrokerCheck shows that investors continue to dispute the sales practices of Merrill Lynch broker Jacquin Fink (CRD#: 207807, New York, New York). Apparently, no less than 10 Merrill Lynch clients disputed Fink’s sales practices, and all of those claims […]

Soreide Law Group has filed a FINRA arbitration on behalf of their client (Claimant) against, LPL FINANCIAL LLC (Respondent). The Claimant, who resides in Maryland, maintained an investment relationship with LPL FINANCIAL and its Financial Advisor, Gregory Gann. Gann is not named in this lawsuit. The lawsuit alleges that the Claimant advised the Respondent that […]

Windsor Street's Raana Khan Allegedly Made Unsuitable Sales Of Private Placements Soreide Law Group is reviewing possible investor claims against broker Imtiaz “Raana” Khan (CRD#: 4084250, New York, New York). Apparently, the stockbroker was an executive for Windsor Street Capital, LP from July 21, 2006 to May 31, 2018 before joining Joseph Stone Capital L.L.C. […]

On November 20, 2019, NYLife Securities LLC (NEW YORK LIFE SECURITIES CORP., NEW YORK LIFE VARIABLE CONTRACTS CORPORATION, NYLIFE SECURITIES INC., NYLIFE SECURITIES LLC) CRD# 5167, was censured and fined $250,000 by the Financial Industry Regulatory Authority (FINRA) for their alleged failure to supervise sales of higher-risk mutual funds on November 20, 2019. NYLife Securities […]

Soreide Law Group, on behalf of their client (Claimant), has filed a FINRA arbitration against: NYLIFE SECURITIES LLC (Respondent). The Claimant, who resides in Florida, maintained an investment relationship with the Respondent and their Financial Advisor, Alan New. According to FINRA’s BrokerCheck, Alan New has 15 disclosures on his CRD report. Many of the disclosures […]