Soreide Law Group is investigating possible investor claims against securities broker Betsy Lou Whipple [CRD#: 2703262, Hiko, NV]. Whipple worked for (1) Newbridge Financial Services as a financial advisor from 2018-Present; (2) Newbridge Securities Corporation as a securities broker from 2018-Present; and (3) Greenleaf Financial Network LLC as a financial advisor from 2017-2018. Specifically, Financial […]

Soreide Law Group is investigating possible investor claims against securities broker Christopher Grant Conness [CRD#: 4778193, Fort Lauderdale, FL]. Conness worked for (1) Global Wealth Management Investment Advisory Inc. from 2017-Present; (2) Madison Avenue Securities LLC from 2017-Present; (3) Global Financial Private Capital LLC from 2010-2018; and (4) G.F. Investment Services LLC from 2009-2017. Specifically, […]

Investors have come forward with complaints about securities broker David Jonathon Feigeles [CRD#: 1530561, Melville, NY]. Feigeles worked for Oppenheimer & Co. Inc. from 2003-Present and CIBC World Markets Corp from 2000-2003. Evidently, the securities broker discloses Oppenheimer investor disputes on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Specifically, one or more Oppenheimer clients allege that […]

Soreide Law Group is investigating possible investor claims against securities broker Yin Yvonne Zhong AKA Yvonne Zhong [CRD#: 3203120, Los Gatos, CA]. Zhong worked for (1) NI Advisors from 2018-Present; (2) Cetera Investment Services from 2017-2018; and (3) LPL Financial LLC from 2017-2017. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that one or more […]

Investors have come forward with complaints about securities broker Hillary Wertlieb [CRD#: 2239224, Lynbrook, New York]. Evidently, the securities broker, who worked for Cetera Advisors and Investors Capital Corp, discloses investor disputes on FINRA BrokerCheck. Specifically, one or more investors allege breach of fiduciary duty, negligence, and breach of contract. For more on these disclosures […]

Sandlapper Securities Broker Jack Bixler Involved In Investor Disputes Soreide Law Group comes to you with new information concerning Jack Charles Bixler (CRD#: 22331, Greenville, South Carolina). Particularly, Bixler, who worked for securities firm Sandlapper Securities LLC (his employer from 2006 to 2020), faces allegations of sales practice violations, including negligence, breach of fiduciary duty, […]

Broker Tim Higgins (Spartan Capital) Facing FINRA Complaint Relating To Investigation FINRA BrokerCheck indicates that investors alleged improper sales practices involving securities broker Timothy Patrick Higgins “Tim Higgins” (CRD#: 2282547, Indianapolis, Indiana) and that those violations resulted in damages. Evidently, Higgins most recently worked as a Spartan Capital Securities broker from 2015 to 2020. Formerly, […]

Investors Bring Disputes About Securities Broker Danny Chancellor BrokerCheck contains important information regarding securities broker William Danny Chancellor “Danny Chancellor” (CRD#: 1277838, Ridgeland, Mississippi). It appears that the disclosures involving Chancellor concern his employment at Cambridge Investment Research (his employer from 2009 to 2012) and First Allied Securities Inc. (his employer from 2012 to 2017). […]

Investment Suitability Dispute Concerns Securian Financial Services, Sheldon Bender The Financial Industry Regulatory Authority (FINRA) provides important information in regard to securities broker Sheldon Robert Bender “Shelly Bender” (CRD#: 1325415, Deerfield, Illinois). Evidently, Bender worked for Securian Financial Services (1988 to 2017). Here is a summary of the disclosures involving allegations of breach of fiduciary […]