Investors have come forward with complaints about Loren Morrison (also known as Loren Justin Morrison) (CRD: 4578161, Southfield, Michigan). Particularly, the securities broker, who worked for Stifel Nicolaus Company Incorporated, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Stifel Nicolaus Company Incorporated clients allege that Morrison violated state laws, made unsuitable recommendations, […]

Investors have come forward with complaints about securities broker Clara Chen Tang [CRD: 4852979, Cupertino, California]. Evidently, the securities broker, who worked for Cetera Investment Services LLC, disclosed client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Cetera Investment Services LLC clients allege unsuitable recommendations, breach of fiduciary duty, among other things. For more […]

Investors have come forward with complaints about securities broker James Bernis Lunsford (also known as Jim Lunsford) [CRD: 2222307, Sonoma, California]. Evidently, the securities broker, who worked for Mid Atlantic Capital Corporation, disclosed client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Mid Atlantic Capital Corporation clients allege breach of fiduciary duty, misrepresentation, among […]

Investors have come forward with complaints about securities broker Shirley Wong AKA Shirley Ank Wong [CRD#: 4869184, Daly City, CA]. Evidently, the securities broker, who worked for Ni Advisors, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Ni Advisors clients allege that Wong made misrepresentations, breached a contract, failed to supervise, and […]

Investors have come forward with complaints about securities broker Elliot Sherer AKA Elliot Hough Sherer [CRD#: 15007, Melville, NY]. Evidently, the securities broker, who worked for Aegis Capital Corp., discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Aegis Capital Corp. clients allege that Sherer breached a fiduciary duty, was negligent, made misrepresentations, […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Brian Roth AKA Brian Robert Roth [CRD#: 4607595, Morristown, NJ]. Evidently, investors disputed the sales practices of the securities broker, who worked for Newbridge Securities Corporation. Additionally, the securities broker discloses a regulatory enforcement action. However, Roth denies the allegations of sales practice […]

Soreide Law Group is investigating possible investor claims against securities broker Mark Kemp AKA Mark Alan Kemp [CRD#: 2057200, Corpus Christi, TX]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for McNally Financial Services Corp. Evidently, investors allege sales practice violations in these […]

Soreide Law Group is investigating possible investor claims against securities broker Frank Avallone AKA Frank Louis Avallone [CRD#: 4814368, South Norwalk, CT]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Newbridge Securities Corp. Evidently, investors allege sales practice violations in these disputes, […]

The Financial Industry Regulatory Authority (FINRA) reports allegations of sales practice violations by securities broker John Sebastion Cangialosi [CRD#: 3273830, New York, NY]. Cangialosi worked for (1) S.W. Financial from 2019 to 2022; (2) Worden Capital Management LLC from 2016 to 2019; and (3) Legend Securities Inc. from 2013 to 2016. Evidently, one or more […]