IFS Broker Richard Grant Cody Pleads Guilty To Fraud Charges Richard Grant Cody (CRD#: 2794558, Spring Lake, New Jersey), a former IFS Securities registered representative, has pleaded guilty to the United States Attorney for the District of Massachusetts’ charges of Cody committing investment advisor fraud against retired investors in the state of Massachusetts, and making […]

Raymond James & Associates Subject Of Customers’ Fraud Allegations Soreide Law Group is investigating claims on behalf of those who invested with Raymond James registered representatives including Jonathan Towne Melges, Philip Thomas Maurer, Mark David Kopkin, Eric Paul Frey and Clay Cale Rucker. Raymond James & Associates, Inc. (CRD#: 705, Saint Petersburg, Florida) is a […]

Customers Allege Against Morgan Stanley Sold Unsuitable Investments Morgan Stanley (CRD#: 149777, Purchase, New York) is a Financial Industry Regulatory Authority (“FINRA”) member brokerage firm and Securities and Exchange Commission (“SEC”) registered investment adviser firm. Evidently, Morgan Stanley has been party to forty-three regulatory events regarding its apparent violations of investment-related regulations or rules. At […]

LPL Financial Sued By Investors Over Unsuitable Annuity Sales LPL Financial LLC (CRD#: 6413, Boston, Massachusetts) ) is a brokerage firm regulated by Financial Industry Regulatory Authority (“FINRA”) who has reported one hundred twenty-nine regulatory events concerning allegations of LPL Financial’s violations of regulations or rules in the securities industry. Additionally, LPL Financial has also […]

Customers File Claims Against Laidlaw & Company For Churning Laidlaw & Company (UK) Ltd. (CRD#: 119037, New York, New York) is a Financial Industry Regulatory Authority (“FINRA”) member brokerage firm who has reported five regulatory events in regard to allegations of its violations of investment-related regulations or rules. Also, Laidlaw & Company has disclosed at […]

Independent Financial Group Sued Over Unreasonable Advice Independent Financial Group (CRD#: 7717, San Diego, California) is a brokerage firm regulated by Financial Industry Regulatory Authority (“FINRA”) who has reported five regulatory events about the firm’s alleged violations of investment-related regulations. Also, several Independent Financial Group representatives, including Steven Collins, John Michael Cione and Leticia Hewko, […]

Edward Jones Sued By Customers Alleging Suitability, Negligence Soreide Law Group is investigating claims on behalf of those who invested with Edward Jones financial advisors including Joe Alan Green, Krystie Lynn Wear, Edward Hardy Dawkins, Kevin Scott Lake and Regina Sheila Gleghorn. Edward Jones (CRD#: 250, Saint Louis, Minnesota) is a Financial Industry Regulatory Authority […]

Cetera Settles Customers’ Claims of Unsuitability And Omissions Cetera Investment Services LLC (CRD#: 15340, Saint Cloud, Minnesota) is a brokerage firm regulated by Financial Industry Regulatory Authority (“FINRA”) who has reported, inter alia: eight regulatory events in regard to allegations of Cetera Investment Services’ violations of investment-related regulations or rules; and three FINRA arbitration awards […]

Customers Contend Jaime Michael Westenbarger Sold Unsuitable Products Jaime Michael Westenbarger (CRD#: 4625703, Grand Rapids, Michigan) is a Securities America, Inc. registered representative who has disclosed on his Financial Industry Regulatory Authority (“FINRA”) BrokerCheck Report that customers have complained about his sales practices. The following customers have lodged customer-initiated investment-related disputes concerning, among other things, […]