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 […]

Berthel Fisher Clients Allege Unsuitability, Misrepresentation By Securities Broker Steve Cummings Soreide Law Group is reviewing potential investor claims to bring against Berthel Fisher Company Financial Services and securities broker Steve Jeffrey Cummings (CRD#: 2274017, Fort Deposit, Alabama). Evidently, four clients filed disputes about Cummings alleging sales practice violations on alternative investments. Read on to […]

Voya Securities Broker Pete Mersberger Facing Allegations Of Sales Practice Violations Soreide Law Group has new information to share with you in regard to securities broker Peter Jerome Mersberger “Pete Mersberger” (CRD#: 2372186, Sheboygan Falls, Wisconsin). Namely, four investors challenged Mersberger’s sales practices, and two of those disputes concern his actions at Voya Financial Advisors […]

Medley LLC Files Bankruptcy The investment loss recovery lawyers at Soreide Law Group are reviewing possible investor claims against securities brokers and financial advisors who may have recommended investments in Medley LLC, run by Medley Management Inc. -- an alternative asset management firm. Notably, Medley LLC has filed for bankruptcy and investors might face large […]

LPL Financial Client Brings Dispute About Investing In REIT, BDC Through Broker Laura Shrawder-Miles Soreide Law Group provides you with new information in regard to the allegations against securities broker Laura Renee Shrawder-Miles (CRD#: 2384721, Sunbury, Pennsylvania). Notably, four investors disputed Shrawder-Miles’s sales practices, and LPL Financial LLC disaffiliated with her for alleged misconduct. Let’s […]

Securities Broker Bill Young Involved In H. Beck Investor Disputes The Financial Industry Regulatory Authority (“FINRA”) reports through BrokerCheck that investors complained about the sales practices of William “Bill” Robert Young (CRD#: 4787488, Rockville, Maryland). It appears that these disputes, all of which have been filed between 2018 to 2021, involve Young’s actions at H. […]