Investors Dispute Broker Donald Padilla's Annuity Sales Soreide Law Group is evaluating potential investor claims of sales practice violations against Donald Padilla (CRD#: 3053711, Alhambra, California). Namely, the securities broker, who worked for Kestra investment Services LLC (2015 to 2018) and National Securities Corporation (2018), reports 3 client disputes, 2 bad employment separations and even […]

Many insurance companies are promoting their annuities, indexed annuities and hybrid annuities with a 7% annuity guaranteed income riders due to low interest rates and volatile stock markets. Investors, especially retired investors who may be handling their own investments management, are encouraged to make sure they understand exactly what “guaranteed income” means. The popular 'Income […]

Many insurance companies are promoting their annuities, indexed annuities and hybrid annuities with a 7% annuity guaranteed income riders due to low interest rates and volatile stock markets. Investors, especially retired investors who may be handling their own investments management, are encouraged to make sure they understand exactly what “guaranteed income” means. The popular 'Income […]

The Soreide Law Group, PLLC, is a Securities Arbitration Law Firm, (888) 760-6552. We recently obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, August, 2013.” Darrell Glynn Frazier (CRD #1663429, Registered Representative, Dublin, Ohio) was barred from association with any FINRA member in any capacity. Without admitting or denying the […]

The Soreide Law Group, PLLC, is a Securities Arbitration Law Firm, (888) 760-6552. We recently obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, August, 2013.” Darrell Glynn Frazier (CRD #1663429, Registered Representative, Dublin, Ohio) was barred from association with any FINRA member in any capacity. Without admitting or denying the […]

Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552, obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2013.” Cecilia Sawyer aka Cecilia Villanueva (CRD #2549482, Registered Principal, Federal Way, Washington) was barred from association with any FINRA member in any capacity. The sanction was based on findings that […]

The following information was obtained on FINRA’s website’s ‘Disciplinary Actions, January 2012.”   Andrew James Aragona (CRD #1320844, Registered Representative, Deerfield Beach, Florida)   was named as a respondent in a FINRA complaint alleging that he recommended variable annuity switches to an elderly customer who had a moderate risk tolerance and a primary investment objective […]