Latest Securities Lawyer News

Investor Alert: Customer Claims Against WELLS FARGO, LEONARD KINSMAN Leonard Kinsman (CRD#: 2816535, Staten Island, New York) is presently employed as a securities broker of Wells Fargo Advisors Financial Network, LLC. According to FINRA BrokerCheck, investors reference Kinsman’s securities practices in four complaints between May 5, 1998 and October 17, 2016. Customers’ claims suggest Kinsman […]

The Financial Industry Regulatory Authority Inc. (FINRA) has ordered the broker/dealer, Buckman Buckman & Reid, based in New Jersey, to pay approximately $205,000 in restitution to seven clients for allegedly failing to supervise two of their former registered representatives who recommended excessive and unsuitable trades. Buckman, Buckman, & Reid Ordered To Pay Clients Restitution The […]

Soreide Law Group filed a FINRA arbitration on behalf of our clients (Claimants) against: CAMBRIA CAPITAL, LLC. (Respondent) The Claimants, a married couple residing in Virginia, maintained accounts with CAMBRIA CAPITAL, LLC.  The Respondent is a full-service securities broker/dealer with offices around the country. The Claimants are seeking damages from CAMBRIA CAPITAL due to the […]

ATTENTION INVESTORS: Customer Complaints Against Sagepoint Broker BRUCE SLATER Soreide Law Group is reviewing possible claims of unsuitability against Sagepoint Financial, Inc. securities broker Bruce Albert Slater (CRD#: 1547792, Northville, Michigan). Investors should take caution if investing with Slater because customers of Sagepoint and Transamerica Financial Advisors (Slater’s prior employer) filed disputes against him. For […]

Losses from NEWBRIDGE SECURITIES CORPORATION, JESSE KRAPF? Soreide Law Group is evaluating possible claims on behalf of those who invested with Newbridge Securities Corporation securities broker Jesse Krapf (CRD#: 5467277, McDonough, Georgia). Evidently, Jesse Krapf worked at the firm’s McDonough, Georgia offices between February 12, 2016 and February 21, 2019. Evidently, Financial Industry Regulatory Authority […]

INVESTOR ALERT: Customer Claim Concerning Hornor Townsend Broker AMY MCPIKE Amy McPike (CRD#: 2122993, Cincinnati, Ohio) is a securities broker who currently works at Hornor, Townsend & Kent, LLC. Apparently, McPike joined the firm’s Cincinnati, Ohio offices on November 12, 2013. Notably, McPike reports on her Financial Industry Regulatory Authority (FINRA) BrokerCheck Report that a […]

JAMES BRADLEY SCHWARTZ (JIM SCHWARTZ) CRD#: 3043085 was barred by the Financial Industry Regulatory Authority Inc. (FINRA) from acting as a broker or otherwise associating with a broker-dealer firm. Schwartz, a broker formerly with Aegis Capital Corp., was barred following allegations of churning four client accounts. According to FINRA, JAMES BRADLEY SCHWARTZ, was associated with […]

According to a recent article in InvestmentNews, financial advisors and broker/dealers who sold $1.5 billion of the high-risk private placements offered by GPB Capital Holdings should be prepared for the worst. Last year, GPB Capital Holdings was supposed to file a "Form 10" with the Securities and Exchange Commission (SEC) and begin making financial disclosures […]

Customer Claim Against ProEquties And Bankers Life Broker KAPSOOL SEO Kapsool Seo (CRD#: 6414824, Indianapolis, Indiana) is a securities broker who worked at ProEquities, Inc. from December 22, 2014 to May 26, 2016. Currently, Seo is a Bankers Life Securities Inc. broker in Indianapolis, Indiana. Evidently, the Financial Industry Regulatory Authority (FINRA) BrokerCheck shows that […]