RYAN LEE Cause Your Investment Losses? Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) BrokerCheck report for prior Fidelity Brokerage Services LLC broker Ryan Lee (CRD#: 4169548, Wayne, New Jersey) confirms that clients disputed his sales practices. In addition to the five plus investors who took aim at Lee’s sales practices, Fidelity discharged him for […]

JASON DAUGHERTY 1st Global Capital Disputes Soreide Law Group is evaluating investor disputes brought against Taylor Capital Management Inc. (also known as “TCM Securities, Inc.”) securities representative Jason Daugherty (CRD#: 4267059, Woodstock, Georgia). Notably, according to the Financial Industry Regulatory Authority (“FINRA”), at least four clients contested Daugherty’s sales practices. Here’s what they had to […]

KERRY HOFFMAN, THOMAS CONWELL Named In SEC Complaint The Securities and Exchange Commission (“SEC”) brought charges against prior LPL Financial LLC securities broker Kerry Hoffman (CRD#: 1061740, Mundelein, Illinois) and barred-broker Thomas Conwell (CRD#: 2095817, Fort Meyers, Florida). Specifically, the agency filed Civil Action #: 19-cv-4409 on July 1, 2019, claiming Hoffman and Conwell violated […]

HECTOR MARTINEZ Sell You Unsuitable Or Misrepresented Puerto Rico Investments? The Financial Industry Regulatory Authority (“FINRA”) reports 15 client complaints associated with prior UBS Financial Services securities broker Hector Martinez (CRD#: 2533545, San Juan, Puerto Rico). Particularly, clients brought complaints or FINRA Arbitrations to contest Martinez’s sales practices. Here’s a summary of some of those […]

Did DANA VIETOR Cause Your Investment Losses? Soreide Law Group is reviewing potential investor claims against CFD Investments, Inc. securities broker Dana Bruce Vietor (CRD#: 873129, Dallas Texas). Notably, the Financial Industry Regulatory Authority (“FINRA”) shows six clients disputed Vietor’s sales practices. Here’s a summary of the allegations against Vietor that investors should be aware […]

Highlands REIT (OTC: HHDS) Losses? Soreide Law Group is evaluating potential investor claims against brokers who sold Highlands REIT. Apparently, this “independent, self-advised” REIT has sustained significant volatility and price declines. Particularly, Highlands REIT Inc., which trades on the secondary markets (OTC: HHDS), closed at $.001 on July 16, 2019, which represents a 52-week low, […]

STEVE PAGARTANIS Liable For Misrepresenting Investments The Financial Industry Regulatory Authority (“FINRA”) disclosed on June 26, 2019, that a FINRA Arbitration Panel issued an Award in FINRA Arbitration #: 18-01353, requiring that Cadaret, Grant Co. Inc. securities broker Steven Pagartanis (CRD#: 1955579, Setauket, New York) pay $1,462,000 in compensatory damages to a Cadaret client who […]

BILL UTANSKI Sell You Unsuitable Investments? The Financial Industry Regulatory Authority (“FINRA”) shows that investors disputed the sales practices of Ameriprise Financial Services Inc. securities broker Bill Utanski (CRD#: 2576809, Fort Lauderdale, Florida). Notably, since January 15, 2015, four investors brought complaints or FINRA Arbitrations suggesting Utanski made unsuitable investments. Here is a summary of […]

Did Your Broker Sell You UNIT Shares? Investors may have sustained serious losses from investing in Uniti Group Inc. (NASDAQ: UNIT). Mainly, this internally managed real estate investment trust, which concentrates in wireless communication, is down more than 59% from its $21.79 52-week high, trading at $8.86 as of market close on July 16, 2019. […]