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 […]

Kalos Broker Joepat Roop Allegedly Sold Unsuitable BDCs, REITs Soreide Law Group wants to know if you sustained losses through investing with Joseph Patrick “Joepat” Roop (CRD#: 2774470, Belmont, North Carolina). Roop is a securities broker who joined Dempsey Lord Smith, LLC in July 2019 after a 10-year stint at Kalos Capital. Notably, Financial Industry […]

FSC Broker Lee Kramer Identified In Investor's Suitability Dispute Soreide Law Group is reviewing potential investor claims against FSC Securities Corporation broker Lee R. Kramer (CRD#: 1465416, Frederick, Maryland). Notably, FINRA BrokerCheck reports that the securities broker, who joined FSC Securities Corporation in March 2005, was recently accused of giving bad advice to an investor. […]

Soreide Law Group Investigating John Carroll Soreide Law Group is reviewing possible investor claims against Berthel Fisher Company Financial Services securities broker John Carroll (CRD#: 41769). Specifically, according to the securities broker’s FINRA BrokerCheck Report, three clients filed disputes against him, and two securities firms discharged him for bad behavior. Here’s more on the allegations […]

ADAM BELARDINO Discharged By MassMutual MML Investors Services, LLC (“MassMutual”) disclosed through Financial Industry Regulatory Authority (“FINRA”) BrokerCheck that it terminated securities broker Adam Belardino (CRD#: 5221927, Elmsford, New York). According to MassMutual, it discharged Belardino following an investigation into a client complaint. Notably, FINRA BrokerCheck shows that four investors took aim at Belardino’s sales […]