Investors Allege Sales Practice Violations By Securities Broker Chris Shaw (Kalos Capital, Pruco Securities) According to the Financial Industry Regulatory Authority (FINRA), securities broker Christopher John Shaw "Chris Shaw" (CRD#: 5011382, Belmont, North Carolina) is involved in investor disputes. The securities broker worked for Blackbird North America, Kalos Capital, Kalos Management, Pruco Securities, Prudential Financial […]

Newbridge Securities Corporation Client Alleges Bad Alternative Investments In Dispute About Broker Marshall Isaacson The Financial Industry Regulatory Authority (“FINRA”) BrokerCheck report for securities broker Marshall Owen Isaacson (CRD#: 1140370, Boca Raton, Florida) contains new disclosures. Evidently, the securities broker worked for National Securities Corporation from August 2007 to July 2016, and Newbridge Securities Corporation […]

Securities Broker Maryann Bessler Involved In LPL Financial Investor's Dispute The Financial Industry Regulatory Authority (“FINRA”) BrokerCheck report for securities broker Maryanne Virginia Bessler (CRD#: 2192223, Lynbrook, New York) contains investor disputes and a regulatory action. It seems that this securities broker, who works for LPL Financial as financial advisor and securities broker (October 2011 […]

Securities Broker Rich Braverman Is Involved In Geneos Wealth Management Client Disputes Soreide Law Group has come across important information in regard to securities broker Richard Mark Braverman (CRD#: 1023227, Lancaster, Pennsylvania). Namely, two of Braverman’s clients brought investment disputes about him. These dispute allege that Braverman caused them to experience investment losses by way […]

Infinity Q Diversified Alpha Fund Losses Because Of Financial Advisors Soreide Law Group is evaluating possible investor disputes against financial advisors and securities brokers who made unsuitable recommendations regarding Infinity Q Diversified Alpha Fund. Earlier this year, Infinity halted distributions to investors. Things are still a mess. Here’s a quick snapshot of what is going […]

Triad Advisors Securities Broker Mark Just In Disputes Regarding Potentially Unsuitable Alternative Investments Soreide Law Group is reviewing possible investor lawsuits involving Mark William Just (CRD#: 1138738, Indianapolis, Indiana), who works for Triad Advisors as securities broker and for The Just Company as financial advisor. Specifically, the Financial Industry Regulatory Authority (“FINRA”) issued Just sanctions […]

Securities Broker Gerald Repasz Accused Of Unsuitable Investment Transactions Soreide Law Group is reviewing possible investor claims concerning securities broker Gerald Lee Repasz (CRD#: 1273452, East Peoria, Illinois). Evidently, the securities broker worked for Ausdal Financial Partners from 2013 to 2020. He previously worked at Berthel Fisher and Company Financial Services, and SII Investments too. […]

Summit Brokerage Services Investors File Arbitration Claims About Securities Broker Norman Robbins Soreide Law Group has come across concerning information in regard to securities broker Norman Arnold Robbins (CRD#: 731352, Boca Raton, Florida). Namely, six investors brought complaints or FINRA Arbitration Claims alleging sales practice violations by Robbins. It appears that recent disputes focus on […]

Broker Samuel Head Is Involved In Voya Financial Client Disputes Soreide Law Group has come across some concerning information on FINRA BrokerCheck in regard to securities broker Samuel Ray Head (CRD#: 2456312, Myrtle Beach, South Carolina). Specifically, there are seven investors who disputed Samuel Head’s sales practices. Here’s a bit more about the disclosures, including […]