Soreide Law Group has recently been contacted by clients who were sold unsuitable structured notes by former Morgan Stanley of Pasadena, California, broker: KEVIN C YANG (Also known as: CHIAGAN K YANG, CHIAGAN KEVIN YANG, KEVIN YANG) According to FINRA’s BrokerCheck, throughout KEVIN C YANG’s career as a registered representative, over $20,000,000 in settlements were […]

J.P. Morgan Sued By Customers Alleging Misrepresentation Zachary Aaron Morris (CRD#: 5939621, Atlanta, Georgia) has been a registered representative of J.P. Morgan Securities LLC since June 23, 2011. Morris has reported on FINRA BrokerCheck that his sales activities involving a J.P. Morgan Securities LLC customer have led the customer to file Financial Industry Regulatory Authority […]

Cetera Faces Customer Claims Alleging Sales Practice Violations Steven Franklin Brandt (CRD#: 2323730, Alexandria, Virginia) was a registered representative of Cetera Advisors LLC from January 1, 2004 and July 26, 2016. Brandt disclosed on FINRA BrokerCheck that his activities have resulted in a customer filing a Financial Industry Regulatory Authority (“FINRA”) Arbitration Case #18-02210 on […]

Customers Sue Ameriprise Over Unsuitable Investments Brian A. Eisenman (CRD#: 2143778, Florham Park, New Jersey) was a registered representative of Ameriprise Financial Services, Inc. between October 5, 2009 and May 22, 2018. Eisenman reported on the Financial Industry Regulatory Authority (“FINRA”) BrokerCheck that on January 6, 2017, a customer filed a complaint in regard to […]

Stifel Nicolaus Customer Sues Firm For Breach Of Fiduciary Duty Scott Alan Sanders (CRD# 3063288, Fort Myers, Florida) has been a registered representative of Stifel, Nicolaus & Company, Incorporated since January 15, 2009. Sanders disclosed on FINRA BrokerCheck that his activities led Stifel Nicolaus customers to file a customer-initiated investment-related arbitration dated July 9, 2018 […]

SEC Charges Midtown Partners Broker Kevin Gillespie With Fraud Kevin Patrick Gillespie (CRD #2485051, New York, New York) has been a registered representative and part-owner of Midtown Partners from April 27, 2016 to August 10, 2018. He is also the chief executive officer of Arias Intel Corp. (ASNT) – a digital media company headquartered in […]

Customers File Suit Against Popular Securities For Unsuitable Trading Arturo Miguel Valldejuly Sastre (CRD# 2091688, San Juan, Puerto Rico) has been a financial consultant of Popular Securities LLC since May 21, 1997. Sastre disclosed on Financial Industry Regulatory Authority (“FINRA”) BrokerCheck that his activities have given rise to a pending customer-initiated investment-related arbitration dated July […]

On September 5, 2018, JUERGEN WEBER (CRD#: 2617323), was barred by the Financial Industry Regulatory Authority, Inc. (FINRA) from acting as a broker or otherwise associating with a broker-dealer firm. Without admitting or denying FINRA’s findings, Weber consented to the sanction and to the entry of findings that he failed to appear and refused to […]

Soreide Law Investigating Claims On Behalf Of 1 Global Investors Soreide Law Group is investigating claims on behalf of those who invested in 1 Global Capital, LLC – a private company headquartered in Hallandale Beach, Florida. On September 7, 2018, the Securities and Exchange Commission (“SEC”) filed a Complaint against 1 Global and its previous […]