SEC barred securities broker James Dale Warring [CRD: 3198200, Rockville, Maryland], and investors complaint about him, based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. James Warring worked for Emerson Equity LLC from June 9, 2023, to August 1, 2025; DAI Securities LLC from November 23, 2020, to May 15, 2023; and […]

Investors might have sustained losses due to securities broker Zachary Andrew Harless (also known as Zack Harless) [CRD: 5525364, Manteca, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Zachary Harless has worked for Wells Fargo Clearing Services LLC since July 22, 2013, and for Wells Fargo Advisors since July 23, 2013. Investors […]

Investors have reportedly disputed the sales practices of securities broker William Joseph Jones [CRD: 1030683, San Rafael, California], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. William Jones has worked for Morgan Stanley beginning on June 1, 2009, and remains registered with the firm. Investors are encouraged to review the information […]

Investors potentially experienced sales practice violations by securities broker Timothy Jan Vanlohuizen (also known as Tim Vanlohuizen) [CRD: 2166867, Coeur d'Alene, Idaho], according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Vanlohuizen worked for SagePoint Financial Inc. from October 31, 2005, to September 1, 2023, and later for Osaic Wealth Inc. from […]

FINRA suspended securities broker Stephen Edward Trask [CRD: 1837307, Mechanicsburg, Pennsylvania], and investors complaint about him, based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Stephen Trask worked for Vanderbilt Securities LLC from April 14, 2012, to January 9, 2023. Investors are encouraged to continue reading to learn more about the disclosures involving this […]

Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: KESTRA INVESTMENT SERVICES LLC (Respondent). The lawsuit states that the Claimant and family have a long history of investing with the KESTRA INVESTMENT SERVICES Financial Advisor, MARK D YADRON, which dates back to his prior firm. The lawsuit alleges that […]

Many investors were sold Delaware Statutory Trusts (DSTs) as “safe” passive real estate investments or as part of a 1031 exchange strategy. In reality, thousands of investors are now facing suspended distributions, collapsing property values, and complete illiquidity, leading to significant Delaware Statutory Trust losses for many. If your financial advisor recommended a DST that […]

Investors potentially incurred losses because of securities broker Sergio Kindler [CRD: 1690597, Jericho, New York], according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Sergio Kindler has been registered with Osaic Wealth Inc. since February 24, 2022, and previously worked for LPL Financial LLC from February 14, 2018, through March 23, 2022. […]

Investors might have sustained losses due to securities broker Scott Francis Droskie [CRD: 2954696, St. Joseph, Michigan], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Scott Droskie worked for Wells Fargo Clearing Services LLC beginning on May 4, 2018, and Wells Fargo Advisors starting on May 8, 2018, both based in […]