Latest Securities Lawyer News

Misrepresentation Claims Involving Raymond James Broker JOHN NORDEN Soreide Law Group is reviewing possible claims of annuity misrepresentation against Raymond James Financial Services securities broker John Norden (CRD#: 2272003, Honolulu, HI), who worked at the firm from October 15, 2009 to June 1, 2018. Norden shows on his Financial Industry Regulatory Authority (“FINRA”) BrokerCheck Report […]

Soreide Law Group has been contacted by investors who have purchased bonds through Cantone Research, Inc.,(CRI) formerly of Tinton Falls, New Jersey, now located in Eatontown, New Jersey.  The bond issuer was First Mortgage Revenue Bonds (Montgomery ALF, LLC Project) Series 2015A & 2015B. The issuer of the bonds was, The Medical Clinic Board of […]

WARNING! Customer Disputes Involving Key Investment Services, DEBORAH CALDER Deborah Calder (CRD#: 4137234, Portland, Oregon) is a previous securities broker of Key Investment Services LLC. She worked in Key Investment Services’ Portland, Oregon offices from March 26, 2014 to March 3, 2017.  Apparently, the Financial Industry Regulatory Authority (“FINRA”) BrokerCheck Report for Calder shows that […]

ATTENTION INVESTORS: Customer Fraud Claim Concerns CFD INVESTMENTS, BRETT BACON Brett Michael Bacon (CRD#: 6080375, Lenexa, Kansas) is presently a securities broker of CFD Investments, Inc. The Financial Industry Regulatory Authority (“FINRA”) BrokerCheck Report for Bacon shows that CFD Investments customers complained about his activities. The matter, summarized below, raises allegations of the firm or […]

Soreide Law Group filed a FINRA arbitration on behalf of our clients (Claimants) against: TRIAD ADVISORS LLC (Respondent) The Claimants reside in New Jersey and at all times relevant maintained accounts with TRIAD ADVISORS, a member of FINRA, with offices around the country. The lawsuit alleges that the Claimants bring this claim to recover the […]

ATTENTION INVESTORS: FINRA Fines, Suspends Morgan Stanley Broker FRANK VENABLE The Financial Industry Regulatory Authority (FINRA) announced January 3, 2019 that Morgan Stanley general securities representative Frank Venable (CRD#: 1461515, Knoxville, Tennessee) will be suspended and must pay a $5,000 fine for trading without permission in accounts of Morgan Stanley clients. Specifically, in a Letter […]

FINRA Sanctions Sigma Financial Broker GREGORY RUSNAK The Financial Industry Regulatory Authority issued a suspension and $5,000 fine to Sigma Financial Corporation securities representative Gregory Rusnak (CRD#: 1505212, St. Charles, Illinois) for unauthorized trading. Specifically, Rusnak submitted a Letter of Acceptance, Waiver and Consent (“AWC”) #2017055797701 on November 14, 2018 which FINRA accepted January 9, […]

INVESTOR ALERT: FINRA Suspends HEATH BOWEN For Failing To Pay Arbitration Award The Financial Industry Regulatory Authority (“FINRA”) suspended Allegis Investment Services LLC president and general securities representative Heath Shayne Bowen (CRD#: 4824684, Idaho Falls, Idaho). FINRA claimed that Bowen did not comply with FINRA Arbitration #18-02355. In that matter, FINRA Arbitration Panel issued a […]

ATTENTION INVESTORS: Claims Against MUTUAL SECURITIES, JACOB KAGELE Jacob Ray Kagele (CRD#: 4606475, Tucson, Arizona) used to work for Mutual Securities Inc. from May 15, 2009 to November 7, 2017. Evidently, Kagele’s Financial Industry Regulatory Authority (“FINRA”) BrokerCheck Report shows that at least three customers of Kagele filed disputes concerning him. Mainly, customers claimed that […]