Tavenner Company Broker Dean Mings Allegedly Sold Bad Annuities Soreide Law Group is investigating possible investor claims about investment losses attributable to the securities business of broker Dean Mings [CRD#: 1197212, Springfield, Ohio]. Supposedly, the broker, who worked for Tavenner Company between 2002 and 2018, reports that the company disaffiliated with him for an outside […]

Clients Suggest Kyusun Kim Gave Bad Advice Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) shows troubling information in regard to securities broker Kyusun Kim [CRD#: 2864085, San Diego, California]. Supposedly, at least 23 clients took issue with the securities broker, who worked for Independent Financial Group from 2006 to 2016 and then worked for […]

Clients File Disputes About Invest Financial's Eric Stuckey Clients are coming forward with disputes concerning Eric Stuckey [CRD#: 2445666, Suwanee, Georgia]. Notably, the securities broker, who associated with Invest Financial Corporation from 2009 to 2018, discloses 5 customer disputes about him on Financial Industry Regulatory Authority (“FINRA”) BrokerCheck. Notably, Invest Financial clients indicate in these […]

Clients Indicate Kalos Capital Broker Eric Weschke Sold Bad BDCs and GPB Funds Soreide Law Group is looking into potential investor disputes against securities broker Eric Weschke [CRD#: 2486324, Setauket, New York]. Supposedly, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck shows that at least 14 clients took issue with the securities broker, who joined Kalos Capital […]

According to a recent article in InvestmentNews, the already troubled GPB Capital Holdings private placement told investors in a letter dated January 23, 2020, that they will not be able to provide Schedule K-1 tax documents to their approximately 6,350 investors, or limited partners, by at least April 15th in one of its largest funds, […]

UBS Customers File Disputes About Dwight West Soreide Law Group is investigating potential investor claims of bad securities sales by broker Dwight West [CRD#: 463778, Lone Tree, Colorado]. Notably, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck reports that no less than 6 clients contested the securities recommendations or sales of the securities broker, who joined UBS […]

KRAIG WILLIAM GIER (KRAIG GIER) CRD#: 2475869, a former financial advisor from Independence, Missouri, pleaded guilty to two counts of wire fraud in the US District Court for the Western District of Missouri.  Gier admitted stealing more than $1 million from two of his elderly clients according to news reports. According to the STL News, […]

Oregon Division Of Financial Regulation Bars Laura Shean Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports alarming information in regard to prior LPL Financial securities broker Laura Shean [CRD#: 2628756, Medford, Oregon]. Not only has Oregon Division of Financial Regulation and FINRA sanctioned the securities broker for unauthorized transactions, but clients also raised serious […]

Broker Kevin Barbalace Possibly Lied To His Clients Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports alarming allegations of improprieties by Corinthian Partners securities broker Kevin Lawrence Barbalace [CRD#: 4456476, Middletown, New Jersey]. Notably, no less than 5 of Barbalace’s clients at Corinthian Partners and Dawson James Securities contested his sales practices. Not only […]