ATTENTION INVESTORS: Customer Claim Against Boca Raton, FL Broker BRETT ELLIS Brett David Ellis (CRD#: 5293493, Boca Raton, Florida) is a GMS Group, LLC financial advisor or broker. The Financial Industry Regulatory Authority (“FINRA”) shows that Ellis joined The GMS Group’s Boca Raton, Florida offices on May 2, 2007. Investors should take caution if dealing […]

INVESTOR ALERT: Unsuitability Claim Against Raymond James Broker JORGE RODRIGUEZ Jorge Luis Rodriguez (CRD#: 1163742, Coral Cables, Florida) is a prior Raymond James financial consultant or broker who has apparently made problematic investment recommendations to customers concerning Puerto Rico securities. Namely, at least eleven customers brought disputes involving Rodriguez’s potentially unsuitable, unreasonable and unwarranted investment […]

SCOTT PATRICK KLOR (CRD#: 2493369), a former broker with LPL Financial of Fort Mill, South Carolina, was fined $5,000 on April 4, 2019, by the Financial Industry Regulatory Authority Inc.(FINRA) and suspended for 14 months for his alleged involvement in a life or viatical settlement, which was not disclosed to LPL. ("Life settlements" are securities […]

ATTENTION INVESTORS: Claims Against UBS Broker ANITA BRENNAN Anita Maria Brennan (CRD#: 858500, San Juan, Puerto Rico) has been a UBS Financial Services Inc. general securities representative since April 18, 2000. Mainly, Brennan disclosed on her FINRA BrokerCheck Report that at least eight customers took aim at her sales practices. For example, here is a […]

FINRA Fines, Suspends UBS Financial Broker SCOTT MINTZ For Discretionary Trading The Financial Industry Regulatory Authority (“FINRA”) just issued UBS Financial Services Inc. broker Scott Blake Mintz (CRD#: 4783179, Hartford, Connecticut) a suspension and required Mintz to pay a $5,000.00 fine for alleging making discretionary trades in the accounts of UBS Financial Services investors. FINRA […]

INVESTOR ALERT: Claims Against CUSO Financial Services, ERIC SHANKS Eric Olin Shanks a/k/a Eric Shanks (CRD#: 2724083, Richardson, Texas), who was a CUSO Financial Services, L.P. stockbroker, is entangled in investor disputes about his sales practices. Namely, the Financial Industry Regulatory Authority (“FINRA”) reports on BrokerCheck that eight investors brought claims that concerned Shanks. Notably, […]

GPB Capital Holdings Fraud? Soreide Law Group is investigating possible claims against brokers who may have recommended and sold investors GPB Capital Holdings funds. Evidently, the company operates out of New York as an alternative asset management firm that aims to acquire private income-producing companies. Notably, it has $1.5 billion dollars in capital and more […]

ATTENTION INVESTORS: Customer Complaints Against TCM Securities Broker Jim Heafner James Hal Heafner a/k/a Jim Heafner (CRD#: 4837072, Charlotte, North Carolina) is an ex-Taylor Capital Management Inc. (now known as TCM Securities, Inc.) broker, and president of Heafner Financial Solutions, whose sales practices have come under fire lately. Heafner, who has appeared on TV stations […]

INVESTOR ALERT: Soreide Law Investigating CBL & Associates Properties, Inc. (NYSE: CBL) Soreide Law Group is evaluating possible claims against brokers who advised investors to purchase CBL & Associates Properties, Inc. (NYSE: CBL), a publicly traded REIT responsible for managing a portfolio comprised of suburban town centers. Notably, CBL claims to be the largest manager […]