Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Samuel Carl Schoner (also known as Sam Schoner) [CRD: 1928356, San Francisco, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Sam Schoner worked for First Republic Securities Company LLC from May 16, 2001, to […]

Investors might have sustained losses due to securities broker Philip Gibson [CRD: 2905474, Boca Raton, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Philip Gibson worked for Newbridge Securities Corporation from December 18, 2001, to March 27, 2024. Read below for additional information about the securities broker’s disclosures. Newbridge Securities Corporation […]

Investors might have sustained losses due to securities broker John Hayward Lord (also known as John Lord) [CRD: 1352023, Calhoun, Georgia], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, John Lord joined Dempsey Lord Smith LLC on March 16, 2007. Keep reading to learn more about John Lord's disclosures. Dempsey Lord Smith […]

Investors might have sustained losses due to securities broker Brad Steven Whalen [CRD: 2582276, Winter Park, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Brad Whalen joined Green Vista Capital LLC on August 27, 2018. Read below for additional information about the securities broker’s disclosures. Green Vista Capital LLC Investor Accused […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker James Arthur Schwarz [CRD: 416535, Short Hills, New Jersey], as indicated by multiple disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck.  Evidently, Schwarz joined UBS Financial Services Inc. on January 10, 2013, as a financial advisor and securities […]

Investors might have sustained losses because of securities broker Stefan Ara Shimshidian [CRD: 3043669, White Plains, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Shimshidian joined Cabot Lodge Securities LLC on June 29, 2013. Continue reading to learn more about Shimshidian's disclosures. Cabot Lodge Securities LLC Investor Accused Shimshidian Of […]

Soreide Law Group is investigating potential investor claims of sales practice violations due to John Sebastion Cangialosi Jr. [CRD: 3273830, New York, New York], given the disclosures on FINRA BrokerCheck. Evidently, Cangialosi worked for SW Financial from December 10, 2019, to August 16, 2022, and for Worden Capital Management LLC from November 4, 2016, to […]

Investors might have sustained losses because of securities broker John Gerard Forrester Jr. [CRD: 728188, Boca Raton, Florida], according to disclosures on FINRA BrokerCheck. Evidently, John Forrester worked for Newbridge Securities Corporation and Wasserman Associates Inc. Keep reading to learn more about John Forrester's disclosures. Newbridge Securities Corporation Investor Accused Forrester Of Breach Of Fiduciary […]

Investors might have sustained losses due to securities broker Austin Richard Dutton Jr. (also known as Austin Duttin) [CRD: 2739167, Doylestown, Pennsylvania], according to disclosures on FINRA BrokerCheck. Evidently, Dutton worked for several securities firms. This includes American Trust Investment Services Inc. from June 15, 2021, to January 7, 2022, in Doylestown, PA, and Primex […]