Latest Securities Lawyer News

JOHN STEPHEN PRONOVOST CRD#: 1990612, a broker currently with CAMBRIDGE INVESTMENT RESEARCH, INC. of Watertown, Connecticut, according to the Financial Industry Regulatory Authority’s (FINRA) BrokerCheck, has 13 Disclosures on his CRD report with FINRA. All of these 13 Disclosures, are Customer Disputes.  The significance of Prononvost’s FINRA Customer Disputes is underscored in FINRA NOTICE to […]

Losses Due To Northstar Financial Services (Bermuda) Ltd.? Soreide Law has filed more than 10 separate Northstar Financial Services claims against Brokerage Firms that sold it for damages over $5 million dollars.   CONTACT US TODAY TO START YOUR CLAIM. IF WE DON’T SPEAK YOUR LANGUAGE WE HAVE ON CALL TRANSLATORS FOR CHINESE, JAPANESE, and […]

Morgan Stanley Customers Dispute Broker David Kraft's Sales Practices Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) discloses troubling updates regarding securities broker David Kraft (CRD#: 2356400, Palm Beach Gardens, Florida). Evidently, at least five investors filed disputes regarding the sales practices of the securities broker, who worked for Morgan Stanley between 2012 and 2019. […]

DEE DEE BROOKS (also known as: DEEDEE BROOKS, DORIS DEE DEE BROOKS, DORIS TAKOOSHIAN) CRD#: 2559233 was barred by the Financial Industry Regulatory Authority, Inc. (FINRA) from acting as a broker or otherwise associating with a broker-dealer firm. Brooks, according to FINRA, formerly with Signator Investors, Inc. of Huntington Beach, California, allegedly engaged in undisclosed […]

Soreide Law Group has been contacted by investors who have suffered losses due to the recommendation of their broker/dealers in Cabot Oil & Gas Corporation (NYSE: COG). Cabot Oil & Gas 52 week range:  13.06 - 24.44 According to Yahoo Finance, Cabot Oil & Gas Corporation, is an independent oil and gas company, explores for, […]

FREDERICK MARKLEY STOW (FREDERICK M STOW) CRD#: 864436, a former Raymond James of Franklin, Tennessee, broker, has had charges filed against him by the Federal Prosecutor in Tennessee for allegedly stealing nearly $1 million from elderly clients.  The case against Stow was filed on June 11, 2020, in Nashville federal court by the U.S. Attorney […]

David H Austin (Also known as: David Harry Nelson Austin, David Austin, David Harry-Nelson Austin) CRD#: 6702519, a former broker from JPMorgan of Grand Rapids, Michigan, was barred by the Financial Industry Regulatory Authority, Inc. (FINRA), on June 11, 2020, from acting as a broker or otherwise associating with a broker/dealer firm. Without admitting or […]

SagePoint Financial has been ordered by the Financial Industry Regulatory Authority (FINRA) to pay over $1,000,000 in restitution to their clients involved in early rollovers of unit investment trusts (UITs). A unit investment trust (UIT) is an investment that offers a fixed portfolio, generally of stocks and bonds, as redeemable units to investors for a […]

Raymond James' Taek Chong Allegedly Fleeces Clients Investors have brought lawsuits regarding barred financial advisor Taek Chong [CRD#: 1551473, Mercer Island, Washington]. Supposedly, the financial advisor, who worked for Raymond James Financial Services from 2000 to 2018, discloses four investor disputes on Financial Industry Regulatory Authority (“FINRA”) BrokerCheck. Significantly, Raymond James clients suggest that they […]