UBS Broker Juan Goytia Discloses 89 Investor Disputes Soreide Law Group is reviewing possible claims of sales practice violations by Juan Goytia (CRD#: 4473937, San Juan, Puerto Rico). Namely, the Financial Industry Regulatory Authority (“FINRA”) reports that the securities broker, who worked for UBS from February 14, 2002 to July 27, 2018, is entangled in […]

Broker Clifford Reid Allegedly Misrepresented Investments Soreide Law Group is looking into potential investor disputes against securities broker Clifford Reid [CRD#: 1905920, New York, New York]. Evidently, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck shows that at least 7 clients took issue with the securities broker, who started with Reid Rudiger in 1999. Notably, clients of […]

Clients Take Aim At Jeff Eiler For Suitability Investors are alleging investment losses because of the securities business of Jeff Eiler [CRD#: 1028716, Fort Lauderdale, Florida]. Supposedly, the securities broker, who joined Wells Fargo on February 17, 2006, discloses 12 investor disputes reported on Financial Industry Regulatory Authority (“FINRA”) BrokerCheck. Notably, Wells Fargo clients indicate […]

FINRA Suspends Oromaner For Not Paying Aggrieved Client Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports troubling information in regard to securities broker Michael Oromaner [CRD#: 2857559, Syosset, New York]. Mainly, FINRA sanctioned Oromaner for unauthorized trading and failure to comply with legal requirements. But that's not all. At least 13 clients took issue […]

FINRA Investigating Allegations Of Excessive Trading By First Standard Broker Andre Davis Soreide Law Group is reviewing possible investor claims against Andre Davis [CRD#: 1417097, Red Bank, New Jersey]. Apparently, he worked for First Standard Financial Company between 2015 and 2019 and joined Paulson Investment Company in 2019. It appears that Financial Industry Regulatory Authority […]

SEC Bars Richard Cody After He Pleads Guilty To Investment Adviser Fraud Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports alarming information in regard to securities broker Richard Cody [CRD#: 2794558, Spring Lake, New Jersey]. Not only has the Securities and Exchange Commission (“SEC”) and Financial Industry Regulatory Authority (“FINRA”) both barred the securities […]

Securities Service Network Clients Suggest Peter Holler Sold Bad Woodbridge Notes Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports troubling allegations of sales practice violations by securities broker Peter Holler [CRD# 838897, Bristol, Tennessee]. Evidently, from 2001 and 2017, he worked for Securities Service Network between, who disaffiliated with him for concealing information about […]

DH Hill Investors Indicate Charles Stevens Sold Bad Investments Soreide Law Group is investigating potential investor claims against securities broker Charles Stevens [CRD#: 1698058, Saint Augustine, Florida]. Notably, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck reports that no less than 5 clients contested the securities recommendations or sales of the securities broker, who joined DH Hill […]

KRISTIAN L FINFROCK (CRD#: 5421676) currently listed with KALOS CAPITAL, INC. of Evansville, Wisconsin, has been named in a FINRA complaint for allegedly selling alternative and risky investments, mainly GPB Capital.  According to reports, Finfrock also sold other alternative investments and non-traded REITs.  Some of these alleged products were: Cottonwood Residential, HPI Real Estate Opportunities […]