Soreide Law Group is actively investigating potential claims on behalf of investors who may have sustained losses because of securities broker Dorinda Lynn Lumpkin (also known as Dorinda Lynn Bludsworth) (CRD: 5687234, Gadsden, Alabama). Specifically, Lumpkin worked for BBVA Securities Inc. from October 10, 2013, to July 6, 2020. Notably, the Financial Industry Regulatory Authority […]

Soreide Law Group is investigating possible investor claims against securities broker Rett Ellis (also known as Everett Bryant Ellis) [CRD: 4046494, Gulf Breeze, FL]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck disclosed that investors complained about the securities broker, who worked for BBVA Securities Inc. Here is a brief summary of the disclosures about Rett […]

Soreide Law Group is investigating possible investor claims against securities broker Ignacio Ordonez (CRD:  5262904, San Antonio, TX). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for BBVA Securities Inc. Evidently, one or more investors alleged that Ordonez made unsuitable recommendations. Here is […]

Investors have come forward with complaints about securities broker Michael Kane III [CRD: 5099883, Houston, Texas]. Notably, the securities broker, who worked for BBVA Securities Inc. and Hilltop Securities Inc., disclosed client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. For more on these disclosures about Kane, see below. Michael Kane Disclosed Unsuitable Recommendations Allegations […]

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 […]

Clients Of BBVA Broker Nicholas McMahan File Disputes Alleging Sales Practice Violations Investor dispute information is reported on FINRA BrokerCheck concerning securities broker Nicholas McMahan, also known as “Nick McMahan” (CRD#: 5578896, Austin, Texas). Evidently, McMahan worked for BBVA Compass Investment Solutions (2011 to 2013), BBVA Securities (2013 to 2021), and BBVA Wealth Solutions (2017 […]

BBVA's Lori Welborn Facing Disputes From BBVA Clients About Variable Annuity Sales The Financial Industry Regulatory Authority (FINRA) contains important information concerning the disputes involving securities broker Lori Ann Welborn (AKA Lori O’Bier and Lori Boland) (CRD#: 2344775, Richardson, Texas). It appears on BrokerCheck that six investors disputed Welborn’s sales practices, with one or more […]

Broker Ricardo Turlan Suspended By FINRA For Alleged Unauthorized Trading Soreide Law Group has new information to share with you in regard to securities broker Ricardo Turlan (aka Ricardo Patricio Perez) (CRD#: 4431836, San Antonio, Texas). Financial Industry Regulatory Authority (“FINRA”) issued Turlan a suspension between June 7, 2021, and August 6, 2021, and fined […]

BBVA, Chase Clients File Disputes About Securities Broker Brian Bates The Financial Industry Regulatory Authority (“FINRA”) reports that investors filed disputes about Brian Robert Bates (CRD#: 2318413, Chandler, Arizona). Evidently, Bates presently works for BBVA Securities as securities broker, and he works for PNC Managed Account Solutions as financial advisor. Let’s take a closer look […]