GREGORY WASHINGTON Churn Your Account? Have you invested with Spartan Capital Securities LLC securities broker Gregory Washington (CRD#: 5420613, New York, New York)? Notably, the Financial Industry Regulatory Authority (“FINRA”) shows that an investor disputed Gregory Washington’s sales practices. Allegedly, person churned accounts, made unauthorized and unsuitable trades, and misrepresented investments. Here is more about […]

CHAMP WARREN Give You Bad Investment Advice? Soreide Law Group is evaluating possible investor claims of suitability against Champ Warren (CRD#: 2401114, Houston, Texas). Warren is a securities representative who joined Merrill Lynch on November 30, 1993. Namely, the Financial Industry Regulatory Authority (“FINRA”) shows on Warren’s BrokerCheck Report that a client complained about his […]

TODD LAMBERTY Losses? Todd Lamberty (CRD#: 4155573, Sioux Falls, South Dakota) is a securities representative who most recently was registered through Questar Capital Corporation. According to the Financial Industry Regulatory Authority (“FINRA”), an investor allegedly incurred losses from Lamberty’s sales practice violations. Here’s more on the allegations against Lamberty: Client of Woodbury Financial Services & […]

Center Street Securities MAIN ADDRESS 2 INTERNATIONAL PLAZA SUITE 301 NASHVILLE, TN 37217 UNITED STATES Broker List Active As of 10/5/2020 Center Street Securities, Inc., is a member of FINRA and SIPC and is an Independent Securities Broker/ Dealer with branch offices throughout the United States. Center Street’s main office is located at 2 International […]

CHARLES DORAINE Allegedly Sold Unsuitable Investments Have you suffered losses by investing with Next Financial Group Inc. securities broker Charles Doraine (CRD#: 70411, Corpus Christi, Texas)? Notably, the Financial Industry Regulatory Authority (“FINRA”) shows on BrokerCheck that at least six clients contested Doraine’s sales practices. Here is a summary of some recent disputes which concern […]

GEORGE CRAIG MERHOFF Barred By FINRA The Financial Industry Regulatory Authority (“FINRA”) confirmed June 14, 2019 that it barred Cetera Advisors LLC securities broker George Craig Merhoff Jr. (CRD#: 2918171, Klamath Falls, Oregon) from the securities industry. Evidently, Merhoff executed Letter of Acceptance, Waiver, and Consent (“AWC”) #:2018057331001 on June 3; FINRA accepted it June […]

RAND HECKLER Barred By FINRA The Financial Industry Regulatory Authority (“FINRA”) announced it has barred Benjamin & Jerold Brokerage I LLC securities broker Rand Heckler (CRD#: 2689235, Glen Cove, New York) from the securities industry for violating FINRA Rules by not responding to FINRA’s requests when under investigation. Supposedly, Heckler, A Benjamin & Jerold broker […]

On June 14, 2019, the Financial Industry Regulatory Authority Inc. (FINRA) barred Patrick Foley (Patrick Neal Foley) CRD#: 6682164 from acting as a broker or otherwise associating with a broker-dealer firm. Patrick Foley, a former broker with MERRILL LYNCH, PIERCE, FENNR & SMITH, INC of Ontario, California was discharged from the firm in January of […]

JONES ENERGY INC. (OTC: JONE) LOSSES? Soreide Law Group is evaluating possible investor claims against brokers and advisors who sold investors Jones Energy, Inc. (OTC: JONE). Evidently this United States exploration and production company, who has been in the business for over 30 years, filed for a chapter 11 bankruptcy on April 15, 2019. Supposedly, […]