Raymond James Broker John Howard Allegedly Sold Bad REITs Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) indicates through BrokerCheck that investors filed disputes about John Troy Howard (CRD#: 2264121, Birmingham, Alabama). The securities broker, who joined Raymond James & Associates, Inc. on February 13, 2013, allegedly breached a fiduciary duty to his clients and […]

Kalos Broker Joepat Roop Allegedly Sold Unsuitable BDCs, REITs Soreide Law Group wants to know if you sustained losses through investing with Joseph Patrick “Joepat” Roop (CRD#: 2774470, Belmont, North Carolina). Roop is a securities broker who joined Dempsey Lord Smith, LLC in July 2019 after a 10-year stint at Kalos Capital. Notably, Financial Industry […]

Broker Rodney Potratz Allegedly Caused Investor To Lose Millions The Financial Industry Regulatory Authority (“FINRA”) reports troubling allegations of sales practice violations by Rodney D. Potratz (CRD#: 2367896, Clive, Iowa). Apparently, the securities broker, who joined FSC Securities Corporation in 2003 and who works in its California and Iowa offices, is subject of two investor […]

FSC Broker Lee Kramer Identified In Investor's Suitability Dispute Soreide Law Group is reviewing potential investor claims against FSC Securities Corporation broker Lee R. Kramer (CRD#: 1465416, Frederick, Maryland). Notably, FINRA BrokerCheck reports that the securities broker, who joined FSC Securities Corporation in March 2005, was recently accused of giving bad advice to an investor. […]

Newbridge Clients Take Aim At Guy Magarelli For Allegedly Making Unsuitable Trades Soreide Law Group is investigating potential investor actions to recover losses caused by securities broker Gaetano “Guy” Magarelli [CRD#: 2227996, Boca Raton, Florida]. Notably, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck reports that no less than 6 clients contested the securities recommendations or sales […]

Investors File Disputes About Broker Marlon Cole Soreide Law Group is looking into potential investor disputes against securities broker Marlon Cole [CRD#: 5054806, New York, New York]. Notably, FINRA BrokerCheck shows that at least 6 clients took issue with the securities broker. These clients held accounts with Cole at firms including Spartan Capital Securities and […]

Wayne Hummer Clients Allege Structured CDs Misrepresented By Broker Jeannette Adcock Evidently, investors are voicing complaints and serious concerns in regard to securities broker Jeannette Adcock [CRD#: 1432053, Bloomingdale, Illinois]. It appears that the securities broker, who worked for Wayne Hummer Investments between September 20, 2004 and April 21, 2017, is involved in 10 investor […]

Jury Finds Donald Fowler Liable For Fraud Soreide Law Group is investigating potential investor claims against Donald Joseph Fowler [CRD#: 4989632, Rockville Centre, New York]. Notably, on February 25, 2020, in a civil action brought by the Securities and Exchange Commission (“SEC”) against Fowler in the U.S. District Court for the Southern District of New […]

Short Treasury Losses? Did Your Broker Put You In an Unusual Amount of Short Treasury Positions? Levered short positions in treasuries such as Proshares Ultrashort 7-10 Year Treasury symbol PST have created massive losses in client portfolios.  These instruments are faulty in the long run because of decay related to leverage besides betting on the […]