Investors apparently complained about securities broker Karen Elizabeth Briggs [CRD: 1100275, Edmonds, Washington], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Briggs worked for LPL Financial LLC from November 6, 2013, to December 20, 2022. Investors should continue reading to learn more about the disclosures involving Briggs. LPL Financial Investor Accused […]

Investors potentially incurred losses because of securities broker Neal Edward Hayias [CRD: 854703, Melville, New York], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Hayias has worked for Equitable Advisors LLC since June 1, 2005, in a broker capacity and since August 29, 2008, as an investment adviser […]

Investors might have sustained losses because of securities broker Anita Louise Lester (also known as Anita Lester Wolfe) [CRD: 4478199, Chicago, Illinois], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Anita Lester worked for Berthel Fisher Company Financial Services Inc. from July 26, 2013, to October 11, 2018. Read on to learn […]

Investors might have sustained losses due to securities broker April Marie Wilson (also known as April Marie Forsman) [CRD: 4515321, Bellevue, Washington], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Wilson worked for Hornor Townsend Kent LLC from August 30, 2006 to November 2, 2020, and joined Osaic Wealth Inc. on October […]

Investors reportedly may have incurred losses due to securities broker Stephen Herman Wedel (also known as Steve Wedel) [CRD: 1221992, Naples, Florida], according to disclosures on FINRA BrokerCheck. According to the regulator, Wedel has worked for Private Client Services LLC since June 4, 2018, and RFG Advisory LLC since August 11, 2014. Previously, he worked […]

Soreide Law Group is investigating possible investor claims against Louis Wargo (CRD: 1416101, Brecksville, Ohio). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for FSC Securities Corporation. Evidently, one or more investors alleged misconduct in these disputes, including that Wargo made unsuitable recommendations, […]

Soreide Law Group is investigating possible investor claims against securities broker Arthur Grossbard (also known as Artie Grossbard) (CRD: 1020971, West Orange, New Jersey). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Royal Alliance Associates Inc. Evidently, investors allege sales practice violations […]

Investors have come forward with complaints about securities broker Thomas Michael Rauchegger (CRD: 5156496, Maitland, Florida). Evidently, the securities broker, who worked for Kalos Capital Inc., discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Kalos Capital Inc. clients allege that Rauchegger made unsuitable recommendations. For more on these disclosures about Rauchegger, see […]

Investors have come forward with complaints about securities broker Craig Eugene Friedrichsen (also known as Coach Craig) (CRD: 2774629, Topeka, Kansas). Evidently, the securities broker, who worked for Voya Financial Advisors Inc., discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Voya Financial Advisors Inc. clients allege that Friedrichsen gave unsuitable advice. For […]