Buckman Broker Melanie Sweet Allegedly Breached Fiduciary Duty Soreide Law Group is evaluating possible investor claims against securities broker and investment advisor, Melanie Sherry Sweet (CRD#: 2620987, Boca Raton, Florida). Notably, FINRA suspended the broker for failing to respond to its Request for Information. Not only that, but an investor also suggested that Sweet breached […]

Banker's Life Broker Jefferey Dyra Possibly Misappropriated Funds Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports alarming information in regard to securities broker Jefferey Dyra [CRD#: 6785909, Naperville, Illinois]. Supposedly, at least two clients raised serious concerns about the securities broker, who worked for Bankers Life Securities until it disaffiliated with him in 2019 […]

STIFEL, NICOLAUS & COMPANY, INC was ordered to pay over $1.5 million to three clients by a Financial Industry Regulatory Authority (FINRA) arbitration panel.  These three clients alleged that Stifel, Nicolaus & Co failed to properly supervise their broker, KENNETH DAVID BLUMBERG (KENNETH BLUMBERG) CRD#: 1585520, who they claim allegedly over-concentrated his clients into biotechnology […]

Clients File Disputes About Barred Country Capital Broker Adam Lopez Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports alarming allegations of improprieties by securities broker Adam Michael Lopez [CRD#: 5562750, Springfield, Illinois]. Notably, no less than 11 clients brought disputes about the securities broker, who associated with Country Capital Management Company from September 16, […]

Money Concepts Broker Christopher Puffer Allegedly Breaches Fiduciary Duty In Connection With Alternative Investment Sales Have you invested with Christopher Puffer [CRD#: 2878141, Louisville, Kentucky]? Notably, the securities broker, who joined Money Concepts Capital Corp. on October 27, 2006, discloses on FINRA BrokerCheck that at least three of his clients challenged his sales practices. In […]

SSoreide Law Group has been contacted by investors alleging unsuitable annuity transactions by the following broker: CYNTHIA MARY COUYOUMJIAN (CYNTHIA COUYOUMJIAN, CYNTHIA MARY KOCZKODAN) CRD#: 1456630 According to FINRA’s BrokerCheck, which is available to the public on FINRA’s website, CYNTHIA COUYOUMJIAN is currently registered with INDEPENDENT FINANCIAL GROUP of Tustin, California, and has 27 Disclosures […]

JOHN RAYMOND LISOWSKI CRD#: 1011572, along with his firm, STIFEL, NICOLAUS & COMPANY, INC., was ordered by a FINRA arbitration panel to pay $500,000.00 to a client who alleged over-concentration and unauthorized trading. Lisowski is currently a registered representative at Stifel, Nicolaus & Co in Pittsburgh, Pennsylvania. According to FINRA, the client filed the claim […]

FINRA Bars UBS Financial Services Broker David Fagenson Investor Alert! FINRA discloses troubling information about securities broker David Fagenson [CRD#: 1652012, Boca Raton, Florida]. Not only has FINRA barred Fagenson for failing to comply with its requests, but at least 11 clients took issue with the securities broker, who worked for Newbridge Securities Corporation between […]

UBS Broker Cary Moskowitz Allegedly Caused Investor's Losses Soreide Law Group is looking into potential investor disputes against securities broker Cary Moskowitz [CRD#: 1287997, New York, New York]. Notably, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck shows that 3 or more clients were allegedly wronged by the securities broker, who joined UBS in 2008. Supposedly, clients […]