Soreide Law Group is currently conducting an investigation into potential claims on behalf of investors who may have suffered losses associated with securities broker Chuck A. Roberts (CRD: 2064602, New York, New York). Roberts is presently registered with Stifel, Nicolaus & Company, Incorporated, where he has been since March 1, 2016, as a securities broker […]

Soreide Law Group is investigating possible investor claims against securities broker Nisreen Nina Kallabat Byrne (also known as Nina Byrne) [CRD: 2223199, Bloomfield Hills, Michigan]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for J.P. Morgan Securities LLC. Evidently, investors allege sales practice […]

Soreide Law Group is investigating possible investor claims against Ron Yehuda Itin (CRD: 2344151, Jersey City, New Jersey). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for E1 Asset Management Inc. Here is a brief summary of the disclosures about Itin. Itin Faced […]

Investors have come forward with complaints about securities broker Julie Lan Cohen (also known as Julie Law) (CRD: 1424275, Camarillo, California). Evidently, the securities broker, who worked for Mutual Securities Inc., discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Mutual Securities Inc. clients allege that Cohen breached a contract, breached a fiduciary […]

Soreide Law Group is investigating possible investor claims against Brad Richard Small (CRD: 3173556, Reading, Pennsylvania). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for American Portfolios Financial Services Inc. Evidently, one or more investors alleged misconduct in these disputes, including that Small […]

Investors have come forward with complaints about Timothy Allen Thelen (also known as Tim Thelen) (CRD: 1924966, Scottsdale, Arizona). Evidently, the securities broker, who worked for Aeon Capital Inc., discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Particularly, Aeon Capital Inc. clients allege that Thelen breached a contract, breached a fiduciary duty, was […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Steven M. Netzel (also known as Steve Netzel) (CRD: 2863170, Chandler, Arizona). Not only has FINRA sanctioned Netzel for unsuitable recommendations, but one or more investors disputed the sales practices of the securities broker. However, Netzel denies the allegations. Read on to learn […]

Soreide Law Group is investigating possible investor claims against securities broker Fermin Alberto Mesina (CRD: 4619199, Chula Vista, California). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Infinex Investments Inc. Supposedly, one or more individuals claim that Mesina overconcentrated accounts in certain […]

Investors have come forward with complaints about securities broker John Rochester (CRD: 2128760, Santa Fe, New Mexico). Evidently, the securities broker, who worked for Morgan Stanley, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Morgan Stanley clients allege that Rochester breached a fiduciary duty, made misrepresentations, made unsuitable recommendations, failed to perform […]