INVESTOR ALERT: Customer Claim Concerning Hornor Townsend Broker AMY MCPIKE Amy McPike (CRD#: 2122993, Cincinnati, Ohio) is a securities broker who currently works at Hornor, Townsend & Kent, LLC. Apparently, McPike joined the firm’s Cincinnati, Ohio offices on November 12, 2013. Notably, McPike reports on her Financial Industry Regulatory Authority (FINRA) BrokerCheck Report that a […]

JAMES BRADLEY SCHWARTZ (JIM SCHWARTZ) CRD#: 3043085 was barred by the Financial Industry Regulatory Authority Inc. (FINRA) from acting as a broker or otherwise associating with a broker-dealer firm. Schwartz, a broker formerly with Aegis Capital Corp., was barred following allegations of churning four client accounts. According to FINRA, JAMES BRADLEY SCHWARTZ, was associated with […]

According to a recent article in InvestmentNews, financial advisors and broker/dealers who sold $1.5 billion of the high-risk private placements offered by GPB Capital Holdings should be prepared for the worst. Last year, GPB Capital Holdings was supposed to file a "Form 10" with the Securities and Exchange Commission (SEC) and begin making financial disclosures […]

Customer Claim Against ProEquties And Bankers Life Broker KAPSOOL SEO Kapsool Seo (CRD#: 6414824, Indianapolis, Indiana) is a securities broker who worked at ProEquities, Inc. from December 22, 2014 to May 26, 2016. Currently, Seo is a Bankers Life Securities Inc. broker in Indianapolis, Indiana. Evidently, the Financial Industry Regulatory Authority (FINRA) BrokerCheck shows that […]

Misrepresentation Claims Involving Raymond James Broker JOHN NORDEN Soreide Law Group is reviewing possible claims of annuity misrepresentation against Raymond James Financial Services securities broker John Norden (CRD#: 2272003, Honolulu, HI), who worked at the firm from October 15, 2009 to June 1, 2018. Norden shows on his Financial Industry Regulatory Authority (“FINRA”) BrokerCheck Report […]

Soreide Law Group has been contacted by investors who have purchased bonds through Cantone Research, Inc.,(CRI) formerly of Tinton Falls, New Jersey, now located in Eatontown, New Jersey.  The bond issuer was First Mortgage Revenue Bonds (Montgomery ALF, LLC Project) Series 2015A & 2015B. The issuer of the bonds was, The Medical Clinic Board of […]

WARNING! Customer Disputes Involving Key Investment Services, DEBORAH CALDER Deborah Calder (CRD#: 4137234, Portland, Oregon) is a previous securities broker of Key Investment Services LLC. She worked in Key Investment Services’ Portland, Oregon offices from March 26, 2014 to March 3, 2017.  Apparently, the Financial Industry Regulatory Authority (“FINRA”) BrokerCheck Report for Calder shows that […]

ATTENTION INVESTORS: Customer Fraud Claim Concerns CFD INVESTMENTS, BRETT BACON Brett Michael Bacon (CRD#: 6080375, Lenexa, Kansas) is presently a securities broker of CFD Investments, Inc. The Financial Industry Regulatory Authority (“FINRA”) BrokerCheck Report for Bacon shows that CFD Investments customers complained about his activities. The matter, summarized below, raises allegations of the firm or […]

Soreide Law Group filed a FINRA arbitration on behalf of our clients (Claimants) against: TRIAD ADVISORS LLC (Respondent) The Claimants reside in New Jersey and at all times relevant maintained accounts with TRIAD ADVISORS, a member of FINRA, with offices around the country. The lawsuit alleges that the Claimants bring this claim to recover the […]