Broker Samuel Head Is Involved In Voya Financial Client Disputes Soreide Law Group has come across some concerning information on FINRA BrokerCheck in regard to securities broker Samuel Ray Head (CRD#: 2456312, Myrtle Beach, South Carolina). Specifically, there are seven investors who disputed Samuel Head’s sales practices. Here’s a bit more about the disclosures, including […]

Breach Of Fiduciary Duty Alleged In Dispute About William Randall Soreide Law Group is examining possible investor lawsuits against securities broker William Perry Randall (CRD#: 1392233, Rockford Illinois). The Financial Industry Regulatory Authority (“FINRA”) reports that at least two investors disputed Randall’s sales practices. These disputes raise allegations of breach of fiduciary duty and suitability. […]

LPL Clients Take Aim At Broker Kevin Houser For Alternative Investment Sales Soreide Law Group is contemplating potential FINRA Arbitration Claims or lawsuits on behalf of investors who lost money because of Kevin Douglas Houser (CRD#:  2513167, Center Valley, Pennsylvania). FINRA BrokerCheck shows that Houser worked for a number of well-known securities firms including LPL […]

Investacorp's Frank Richardson Supposedly Sold Bad Alternative Investments Soreide Law Group provides you this investor alert update in regard to securities broker William Franklin “Frank” Richardson Jr. (CRD#: 721293, Houston, Texas). Particularly, there are at least six investors who have challenged Richardson’s sales practices. It appears from these disputes that Richardson might have caused clients […]

Broker John Carroll Involved In Berthel Fisher Investors' Disputes The Financial Industry Regulatory Authority (“FINRA”) reports troubling accusations by investors against securities broker John W. Carroll (CRD#: 41769, Maumee, Ohio). Most importantly, four investors brought disputes about the securities broker, who worked for Berthel Fisher from 2005 to 2018 before the firm disaffiliated with him […]

Financial Advisors Could Have Unsuitably Recommended, Sold BDC Scorecard Portfolio Series 18 (NASDAQ: CBDCRX) Soreide Law Group is evaluating possible investor claims of sales practice violations against financial advisors who might have unreasonably recommended or sold Guggenheim Defined Portfolios’ BDC Scorecard Portfolio Series 18 (NASDAQ: CBDCRX). What Is CBDCRX? Guggenheim Defined Portfolios, Series 1970 is […]

Moloney Securities Broker Joseph Weinrich Allegedly Sold Unsuitable Investments Soreide Law Group is reviewing possible investor claims in regard to securities broker Joseph John Weinrich Sr. (CRD#: 461987, Orange, California). Notably, FINRA BrokerCheck shows that at least three investors complained about the broker, who worked for Moloney Securities from 1999 to 2018. Significantly, these disputes […]

Broker Susan Welo Involved In Investor Disputes Soreide Law Group is looking into potential investor disputes against securities broker Susan Welo [CRD#: 1884407, Mayville, North Dakota]. Apparently, North Dakota Securities Department brought a Cease and Desist action against the securities broker, who worked for Cetera Advisor Networks and Securities America. Not only that, but Welos' […]

LPL Broker Don Woods Allegedly Recommended, Sold Unsuitable Alternative Investments Investors are voicing complaints about securities broker Donald “Don” Stephen Woods [CRD#: 727894, Louisville, Kentucky]. Apparently, the securities broker worked for LPL Financial LLC between July 1, 2010 and January 20, 2017 and then worked for Thurston Springer Financial from December 22, 2016 to August […]