Ohio National Ending Broker Contracts And Annuity Trails For Advisors Soreide Law is investigating possible claims on behalf of advisors who have contracted to sell annuities through Ohio National Financial Services Inc. (Cincinnati, Ohio) – a company that markets financial and insurance products through the Unites States and abroad. The firm is considered a top […]

Soreide Law Group Investigating Payson Petroleum Fraud Allegations Soreide Law Group is investigating claims on behalf of investors who have been sold investments in Payson Petroleum (Grayson County, Texas) – a company founded by Matthew Carl Griffin to pioneer oil investment opportunities for independent investors. Payson Petroleum investors are at risk of losing their investments […]

UBS’ David Howard Fagenson Allegedly Misrepresented Investments David Howard Fagenson (CRD#: 1652012, Palm Beach, Florida) is a securities broker who previously worked for UBS Financial Services Inc. between September 3, 2010 and October 19, 2016. UBS Financial Services Inc. reported on Fagenson’s FINRA BrokerCheck Report that a customer of Fagenson’s had made false promises about […]

Suitability Claims Lodged Against Morgan Stanley Broker James E. Brooks James E. Brooks (CRD#: 31604, Boca Raton, Florida) is a prior financial advisor of Morgan Stanley. The Financial Industry Regulatory Authority (“FINRA”) BrokerCheck Report for Brooks shows that Brooks’ sales practices have been contested by at least four investors through their filing of investment-related complaints […]

DAVID HOWARD FAGENSON (DAVID FAGENSON) CRD#: 1652012, a broker formerly with UBS of Palm Beach, Florida, was suspended by the Financial Industry Regulatory Authority, Inc. (FINRA) following allegations that he traded excessively in elderly client accounts. DAVID FAGENSON consented to an eight-month suspension without admitting or denying FINRA’s findings. FINRA did not fine Fagenson due […]

Calton & Associates Broker Chris Raymond Kubiak Barred by FINRA Chris Raymond Kubiak (CRD#: 1527367, Brookfield, Wisconsin) has been registered with Freedom Investors Corp. (February 17, 1989 to July 17, 2017), American Global Wealth Management, Inc. (July 14, 2017 to August 11, 2017) and most recently, Calton & Associates, Inc. (July 17, 2017 to October […]

RALPH WILLARD SAVOIE (RALPH SAVOIE) CRD#: 411660, a 71 year-old former financial advisor, was sentenced to 14 years in prison after he admitted to stealing up to $1.5 million from his clients.  According to news reports, Savoie, pleaded guilty in March to wire fraud.  Savoie must also serve three years of supervised release, forfeit $1.1 […]

Royal Alliance Associates’ Kimberly Pine Kitts Defrauded Investors Kimberly Pine Kitts (CRD#: 2768200, Orleans, Massachusetts), who is past Royal Alliance Associates, Inc. investment adviser representative, pleaded guilty to a United States Attorney for the District of Massachusetts’ criminal charges including investment adviser fraud, wire fraud and identify theft. Kitts admitted to her role in defrauding […]

Boca Raton Broker Robert David Child Sued For Unsuitability Soreide Law Group is investigating claims on behalf of customers who invested with Robert David Child (CRD#: 500359, Boca Raton, Florida). Robert David Child has worked for brokerage firms including National Securities Corp (November 12, 2012 to September 18, 2017), vFinance Investments Inc. (August 8, 2001 […]