Investors Suggest That Dawson James' Travis Lippmann Misrepresented Investments The Financial Industry Regulatory Authority (“FINRA”) reports troubling allegations of misconduct against prior Dawson James securities broker Travis Lippmann (CRD#: 5908823, New York, New York). Evidently, at least two of Lippmann’s clients at Dawson James came forward to dispute his sales practices. Notably, these disputes indicate […]

RBC Capital Market's Lisa Lowi Allegedly Made Unsuitable Bond Trades Soreide Law Group is reviewing possible investor claims against RBC Capital Markets securities broker Lisa Lowi (CRD#: 1347790, Boca Raton, Florida). Namely, the Financial Industry Regulatory Authority (“FINRA”) reports that 39+ clients brought disputes about her sales practices. Not only that, but FINRA barred Lowi […]

Merrill Lynch's Scott Madison Allegedly Churned Investor's Account The Financial Industry Regulatory Authority (“FINRA”) reports troubling information about Merrill Lynch securities broker Scott Madison (CRD#: 4323032, Beverly Hills, California). Namely, at least two of Madison’s clients contested his sales practices. These client disputes raise serious questions about whether Madison made unauthorized trades and provided poor […]

CHARLES CHESTER KULCH (CRD#: 2371584), a broker currently employed by Next Financial of Nashua, New Hampshire, is the alleged subject of a complaint brought by a client in August of 2017. Recently, the New Hampshire Bureau of Securities Regulation said it had reached a settlement with Next Financial in which the broker/dealer agreed to pay […]

Geneos Wealth Management's Michael Osland Allegedly Gave Bad Advice Soreide Law Group is evaluating possible investor claims against Geneos Wealth Management securities broker Michael Osland (CRD#: 1791642, Scottsdale, Arizona). Namely, the Financial Industry Regulatory Authority (“FINRA”) BrokerCheck report for Osland shows that three clients filed disputes against him. Read on to learn more about what […]

Investors Dispute Sales Practices Of Sylvester Knox Investors continue to dispute the sales practices of securities broker Sylvester Knox (CRD#: 1625705, Short Hills, New Jersey). Namely, the securities broker, who Merrill Lynch disaffiliated with in 2017 for allegedly making unauthorized trades and misrepresentations, is entangled in 25 client disputes. These client disputes, disclosed on FINRA […]

MERCER HICKS (MERCER HICKS III, TOBY MERCER HICKS III, TOBY HICKS III) CRD# 245170, was recently named in a complaint filed by the Financial Industry Regulatory Authority’s Department of Enforcement, alleging that Hicks made unsuitable recommendations to five of his senior clients, including three widows, and made high-risk investments that violated FINRA rules and cost […]

Investor Suggests National Securities Corp's Kurt Stein Misrepresented Investments Soreide Law Group is reviewing possible investor claims against securities broker Kurt Stein (CRD#: 3159180, New York, New York). Notably, the Financial Industry Regulatory Authority (“FINRA”) reports that two of Stein’s clients at Merrill Lynch and National Securities Corporation contested his sales practices. These disputes suggest […]

FINRA Suspends Raymond James Broker Michael Hurtgen For Selling Away Investor Alert! Evidently, the Financial Industry Regulatory Authority (“FINRA”) and Wisconsin Office of Commissioner of Insurance have sanctioned securities broker Michael Hurtgen (CRD#: 1742647, Greenwood Village, Colorado). Allegedly, the broker, who worked for Raymond James from 2009 to 2016, engaged in unauthorized private placement activities. […]