Attorney Lars Soreide has been retained by several investors to file FINRA arbitrations against TD Ameritrade for allowing investors to be locked out of trading in the stock Provectus symbol “PVCT”. Several firms other than TD Ameritrade experienced the same trading lockout. It is alleged that Wells Fargo, Fidelity, and Charles were also frozen out on January 23, 2014. Some investors were allegedly told this was a business decision by TD Ameritrade while several other online trading platforms such as ETrade allowed trading in the stock. On January 23, 2014, shares of PVCT dropped from $5.60 to $1.87 while TD Investors had to sit on the sidelines as their investments went up in smoke. If you were an investor in PVCT who got locked out call (888) 760-6552 or email info@soreidelaw.com. We represent investors nationwide before FINRA . There is no fee if there is no recovery. If your potential losses are greater than $50,000 please call now for a free consultation.
KEVIN CHRISTOPHER MCCARTHY (KEVIN C MCCARTHY) was permanently barred by FINRA from acting as a broker or otherwise associating with a broker/dealer firm with a start date of 5/7/2026. McCarthy was registered as a broker with MADISON AVENUE SECURITIES LLC of Hialeah, Florida, from 12/04/2007 - 01/30/2026. McCarthy was previously registered both as a broker […]
Investors might have sustained losses due to securities broker William H. Grant [CRD: 4219455, Duluth, Georgia], given the public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. William Grant has been registered with Merrill Lynch since October 23, 2009, as both a securities broker and financial advisor. Investors are encouraged to continue reading to find […]
Investors apparently complained about securities broker James Francis Martin [CRD: 1218618, West Conshohocken, Pennsylvania], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Martin worked for Morgan Stanley from April 4, 2016, to December 2, 2022. See the following information to discover more about disclosures involving Martin and allegations reported on FINRA BrokerCheck. Martin […]
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