JAMES TRAVIS FLYNN (JIM FLYNN) CRD#: 3082615 was barred by FINRA from acting as a broker or otherwise associating with a broker-dealer firm from September 4, 2018.   Allegedly, Flynn failed to request termination of his suspension within three months of the date of the Notice of Suspension; therefore, he was automatically barred from association with […]

Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: FIRST ALLIED SECURITIES, INC. (Respondent) The Claimant, who resides in Kentucky, maintained an investment relationship with the Respondent and its Financial Advisor, Christopher Douglas Risher (Chris Risher) CRD#: 4325125.  Chris Risher has not been named in the lawsuit.  FIRST ALLIED […]

LPL Financial Terminates Brokers Paul Avila, Eric Heinz, Ioannis Papatherapontos LPL Financial LLC (CRD#: 6413) is a both a brokerage firm which Financial Industry Regulatory Authority (“FINRA”) regulates, and an investment advisory that the Securities and Exchange Commission (“SEC”) regulates. LPL Financial reports that 148 regulatory actions were brought against the firm for violating securities […]

Merrill Lynch’s Thomas Buck Is Going To Jail For Defrauding Investors Thomas Joseph Buck (CRD#: 1024868, Indianapolis, Indiana), the general securities representative of Merrill Lynch, Pierce, Fenner & Smith Incorporated (“Merrill Lynch”), will go to prison for forty months for committing securities fraud. Supposedly, Buck charged $2,000,000.00 in excessive commissions to customers holding commission-based trading […]

Soreide Law Group Investigating Possible Claims Against Adam Thomas Marquardt Soreide Law Group is investigating possible claims on behalf of those who invested with Adam Marquardt (CRD#: 5307192, Rochester, Minnesota), a securities representative who joined Wells Fargo Advisors Financial Network, LLC on April 23, 2010. Notably, Financial Industry Regulatory Authority (“FINRA”) reported that a customer […]

KYLE PATRICK HARRINGTON (KYLE HARRINGTON) CRD#: 2282328, a broker formerly with AURORA CAPITAL LLC of BRIDGEHAMPTON, NY, was barred by FINRA from acting as a broker or otherwise associating with a broker/dealer firm for allegedly converting a client’s funds.  Harrington was ordered to pay $105,000, plus interest, in restitution to his member firm and ordered […]

ATTENTION INVESTORS: Complaints Filed Against LPL Financial Brokers Michael Botwinick, Christopher Dunlap, Brian Midi Soreide Law Group is reviewing possible investor claims against brokers of LPL Financial LLC (CRD#: 6413, Boston, Massachusetts) who may have engaged in sales practice violations. Notably, the firm disclosed through Financial industry Regulatory Authority (“FINRA”) that customers brought fifty-four investment-related […]

Lincoln Financial Advisors Brokers Ivy Menchel, Adam Gellis Accused Of Investment-Related Misconduct Lincoln Financial Advisors Corporation (CRD#: 3978, Fort Wayne, Indiana) is a brokerage firm and investment advisory firm regulated by Financial Industry Regulatory Authority (“FINRA”) and Securities and Exchange Commission (“SEC”), respectfully. Since its establishment, Lincoln reports fourteen regulatory actions and six arbitrations. Those […]

ATTENTION INVESTORS: Complaints Filed Against Legend Securities Brokers Jonathan Miller, Samuel Girgiss   Legend Securities, Inc. (CRD#: 44952, New York) is a previously registered brokerage firm which FINRA expelled June 21, 2018. Specifically, FINRA’s Hearing Officer issued a Default Decision in FINRA Case #2015048048801 on November 6, 2017, finding the firm violated NASD Rule 3010 […]