Soreide Law Group is looking into possible investor claims against securities broker Shawn Oliver (CRD: 2015244, Napa, California). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for UBS Financial Services Inc. Evidently, investors allege sales practice violations in these disputes, including that Oliver made misrepresentations. Here is a brief summary of the disclosures about Oliver.
Also, a client of UBS Financial Services Inc. contested Shawn Oliver’s sales practices, according to a complaint dated September 29, 2022. Allegedly, Oliver made misrepresentations. Supposedly, Oliver possibly caused the client to sustain damages. Therefore, the client requested compensation from UBS Financial Services Inc. or Oliver. However, the securities firm denied the complaint.
Also, a client of Morgan Stanley contested Shawn Oliver’s sales practices, according to a complaint dated February 14, 2006. Allegedly, Oliver made unsuitable recommendations. Supposedly, Oliver possibly caused the client to sustain damages on equities. Therefore, the client requested compensation from Morgan Stanley or Oliver in the amount of $73,000. However, the securities firm denied the complaint.
Have you sustained damages by investing with Shawn Oliver? If so, contact Soreide Law Group at (888) 760-6552 and speak with an investment lawyer about a potential recovery of your investment losses. Soreide Law Group, who has effectively recovered money for hundreds of investors throughout the United States, represents clients on a contingency fee basis and advances all costs. Oliver and brokerage firms Oliver worked for deny any and all allegations of sales practice violations.
Pending customer claims on BrokerCheck name Michael Graham (CRD 3263494) and list LPL Financial as the firm. Each claim is pending and unproven, and no arbitrator has ruled on any of them. The customers allege that Graham misrepresented guaranteed principal and returns on a secured loan related to a real estate deal.
An SEC decision involving Titan Securities (CRD 131392) of Plano, Texas became final on August 7, 2026, according to FINRA's October 2026 Disciplinary and Other FINRA Actions report. The decision fined the firm $50,000. The record lists the firm as JTA Securities Management, Inc. dba Titan Securities.
Every settled customer dispute on Peter Maller's BrokerCheck report names Lincoln Financial as the firm. Maller holds CRD number 2322403. The newest dispute, filed on March 5, 2024, settled on August 15, 2024 for $12,500 against alleged damages of $50,000. The claimants alleged that the representative represented an oil and gas investment as safe.
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