JAY AMBROSON Investor Complaints? The Financial industry Regulatory Authority (“FINRA”) BrokerCheck shows that investors disputed the sales practices of Gould, Ambroson & Associates President, Jay Ambroson (CRD#: 859012, Garden City, New York), whom the firm disaffiliated with in July 2018. Evidently, from June 1, 2018 to May 21, 2019, at least eight clients of his […]

Soreide Law Group Investigating Possible Claims Against Adam Thomas Marquardt Soreide Law Group is investigating possible claims on behalf of those who invested with Adam Marquardt (CRD#: 5307192, Rochester, Minnesota), a securities representative who joined Wells Fargo Advisors Financial Network, LLC on April 23, 2010. Notably, Financial Industry Regulatory Authority (“FINRA”) reported that a customer […]

Attention: Customer Files Fraud Claim Involving Windsor Street Broker Anthony Pace Anthony Pace (CRD#: 2481049, New York, New York) is a prior Windsor Street Capital, LP securities representative and supervisor. Apparently, Anthony Pace worked at the firm from October 28, 2015 to May 29, 2018 – the day FINRA expelled the firm. Notably, Anthony Pace […]

Ohio National Ending Broker Contracts And Annuity Trails For Advisors Soreide Law is investigating possible claims on behalf of advisors who have contracted to sell annuities through Ohio National Financial Services Inc. (Cincinnati, Ohio) – a company that markets financial and insurance products through the Unites States and abroad. The firm is considered a top […]

Customer Files Suit Against First Allied Securities, Patricia Thom Patricia Carol Thom (CRD#: 1192935, San Luis Obispo, California) is a prior registered representative of First Allied Securities, Inc. According to Thom’s Financial Industry Regulatory Authority (“FINRA”) BrokerCheck file, at least twelve customers have contested Thom’s sales practices. Specifically, customers’ claims against Thom, including those summarized […]