The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Philip Smith (also known as Phillip Norris Smith) (CRD:  2833891, New York, NY). Evidently, investors disputed the sales practices of the securities broker, who worked for Equitable Advisors LLC. Additionally, the securities broker discloses a regulatory enforcement action. Notably, these disclosures allege Smith […]

Soreide Law Group is investigating possible investor claims against securities broker Stephen Christopher Tadlock (also known as Chris Tadlock) [CRD: 5746664, Houston, Texas]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Ameriprise Financial Services LLC. For example, clients alleged unsuitable recommendations. Here […]

Soreide Law Group is investigating possible investor claims against securities broker Kaising Victor Lui (also known as Kai Lui) [CRD: 5898825, New York, New York]. Evidently, Equitable Advisors LLC permitted Lui to resign, and a client complained about him. Here is a brief summary of Equitable Advisors LLC’s allegations against Lui. Equitable Advisors LLC Terminates […]

Investors have come forward with complaints about securities broker Melissa Laura Cournyer (also known as Melissa Laura Ferguson) [CRD: 6244893, Chicago, Illinois]. Notably, the securities broker, who worked for Bankers Life Securities Inc., disclosed client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Bankers Life Securities Inc. clients allege that Cournyer made unsuitable recommendations. […]

Soreide Law Group is investigating possible investor claims against securities broker Allyson Jo Trantum [CRD#: 2896970, Temecula, CA]. Trantum has worked for J.W. Cole Advisors Inc. from 2018-Present and LPL Financial LLC from 2016-2018. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that a J.W. Cole Financial client disputed Trantum’s sales practices and that LPL […]

The Financial Industry Regulatory Authority (FINRA) reports allegations of sales practice violations by securities broker Camille Cordova [CRD #: 6734084, Glendale, CA]. Cordova worked for NYLife Securities LLC from 2019-2022 and AXA Advisors LLC from 2007-2019. Evidently, an Equitable Advisors investor disputed Cordova’s sales practices. Additionally, the securities broker discloses a regulatory action resulting in […]

Broker Jessica Hall Involved In BBVA Investor Disputes Concerning Annuities Soreide Law Group talks about the FINRA BrokerCheck disclosures on securities broker Jessica Wasserman Hall (CRD#: 4879088, Hoover, Alabama). Evidently, Hall worked as a PNC Managed Account Solutions financial advisor from 2010 to 2021. She also worked as a BBVA Securities broker from 2013 to […]

Multiple UBS Clients File Investment Disputes About Broker Neil Klein FINRA BrokerCheck indicates that investors alleged sales practice violations involving securities broker Neil Kevin Klein (CRD#: 1681779, White Plains, New York) and that those violations resulted in damages. Notably, Klein was a securities broker and financial advisor at UBS Financial Services (his employer since 2006) […]

Broker Luisa Gonzalez Accused Of Sales Practice Violations According To SunTrust Investor's Dispute The Financial Industry Regulatory Authority (“FINRA”) contains new disclosures concerning securities broker Mercado “Luisa” Gonzalez (CRD#: 2765208, Kissimmee, Florida). Evidently, Gonzalez worked for securities firms Leaders Group Inc. (2020 – present), PNC Investments (2017 to 2019), SunTrust Investment Services (2012 to 2017), […]