Broker David Stateman Barred And Subject Of Client Dispute Soreide Law Group has new information to share with you in regard to securities broker David Alan Stateman (CRD#: 5530638, Miami, Florida). It appears that FINRA indefinitely barred Stateman as a securities broker. Not only that, but Stateman is involved in an investor dispute that alleges […]

Allstate Securities Broker Ivan Wenzel Involved In Investor Dispute About Annuity The Financial Industry Regulatory Authority (FINRA) contains new information about securities broker Rodolf Ivan Wenzel (“Ivan Wenzel”) (CRD#: 1532033, Redlands, California). Evidently, Wenzel worked for firms Allstate Financial Services (1999 to 2018) and Voya Financial Advisors (2019 to 2020). Specifically, two Allstate investors filed […]

Securities Broker Jason Poff Sanctioned By FINRA, Accused Of Sales Practice Violations By LPL And Chase Clients Financial Industry Regulatory Authority (FINRA) BrokerCheck, which houses important information about securities brokers, contains new disclosures regarding securities broker Jason Howell Poff (CRD#: 4078570, Houston, Texas). Specifically, FINRA issued Poff a fine and suspension for alleging engaging in […]

Customers Allege Misrepresentation By Allstate Brokers Patrick Phillips, Brian Toms Allstate Financial Services (CRD#: 18272, Lincoln, Nebraska) is a brokerage firm regulated by Financial Industry Regulatory Authority (“FINRA”). The firm has reported three regulatory actions concerning its failure to abide by securities industry rules and regulations. For example, FINRA fined the firm $1,000,000.00 for failing […]

Soreide Law Group, based in Florida, is currently investigating claims brought by former clients of: HARVEY ALAN WEISENFELD CRD#: 1187453   Harvey Weisenfeld was a registered broker and financial adviser formerly with ALLSTATE FINANCIAL SERVICES, LLC of INVERNESS, FL.  According to FINRA’s BrokerCheck, which is available to the public on FINRA’s website, Harvey Weisenfeld was […]

The following information appeared on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2013.” Ronald Allen Bundy (CRD #5964805, Registered Representative, Raeford, North Carolina) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Bundy consented to the described sanction and to the entry of findings that […]

Soreide Law Group, PLLC, a Securities Arbitration Law Firm, (888) 760-6552, obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, May, 2013.” Andrew Lewis Pittman (CRD #732632, Registered Representative, Deerfield Beach, Florida) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Pittman consented […]