Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker David Bruce McMillen [CRD: 1198070, Boulder, Colorado], given the disclosures on FINRA BrokerCheck. Evidently, McMillen joined Crown Capital Securities LP on January 2, 2003. During his employment, clients filed complaints about his sales practices. Continue reading to uncover […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Al Stephen Lovelace [CRD: 2393766, Rutherfordton, North Carolina], given the disclosures on FINRA BrokerCheck. Evidently, Lovelace has worked for Equitable Advisors LLC since December 27, 2016, and worked previously at AXA Advisors LLC from October 2, 2008, to […]

Soreide Law Group is investigating possible investor claims on behalf of those who incurred losses through securities broker Steven Christopher Lovell (also known as Steven Lovell) [CRD: 5975704, Dublin, Ohio], Evidently, Steven Lovell worked for Morgan Stanley from September 2, 2022, to the present, and previously for Key Investment Services LLC from June 14, 2012, […]

Investors may have experienced damages due to securities broker Paul Joseph Mauro [CRD: 824304, Bolton, Massachusetts], according to disclosures on the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Mauro previously worked for Mosaic Wealth Inc. in Bolton, MA, from September 1, 2023, to January 19, 2024, and for SagePoint Financial Inc. in Westborough, MA, from […]

FINRA BrokerCheck shows that Rod Ferruso [CRD: 1457661, Morgantown, West Virginia] is the subject of scrutiny due to various investor disputes and regulatory actions during his time with Royal Alliance Associates Inc. in Morgantown, WV (2018 - 2022) and previously with Signator Investors Inc. Summaries of these disclosures are provided below. FINRA Sanctions Against Rod […]

Securities broker William King (also known as Bill King) [CRD: 1432593, Vero Beach, Florida] has come under scrutiny for multiple investor disputes during his tenure at Merrill Lynch Pierce Fenner Smith Inc. in Vero Beach, FL, from November 19, 1985, to May 4, 2023. This article provides a detailed overview of the disclosures related to […]

Soreide Law Group is investigating possible investor claims against securities broker Michael Girard Deluca (also known as Mike Deluca) (CRD: 4428054, Beaver Falls, Pennsylvania). Evidently, FINRA sanctioned the securities broker, who worked for Fortune Financial Services Inc. Allegedly, Deluca failed to supervise. Here is a brief summary of FINRA’s allegations against Deluca. Deluca Suspended By […]

Soreide Law Group is investigating possible investor claims against securities broker Clemont Lee Bevill (also known as Lee Bevill) (CRD: 1790971, Quincy, Illinois). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Silver Oak Securities Inc. Supposedly, one or more individuals claim that […]

Soreide Law Group is investigating possible investor claims against securities broker Greg Hanshew (also known as Gregory Scott Hanshew) [CRD: 2624600, Littleton, CO]. Mainly, FINRA sanctioned the securities broker, who worked for Infinity Financial Services. Allegedly, Greg Hanshew failed to provide information and documents to FINRA when it investigated potential FINRA rule infractions. Here is […]