Sales Practice Violations Alleged In Alexander Capital Client's Dispute About Broker Michael Androulakis Evidently, FINRA contains important disclosures on broker Michael Scott Androulakis (CRD#: 2793638, New York). Evidently, Androulakis has worked as a securities broker for Alexander Capital LP since 2016. Also, he previously worked as a securities broker for Legend Securities. Let’s take a […]

Investor Disputes Involve Securities Broker Kyle Davis (Raymond James, Morgan Stanley) FINRA BrokerCheck indicates that investors alleged improper sales practices involving securities broker and financial advisor Evan Kyle Davis “Garry Davis” (CRD#: 2995789, Atlanta, Georgia) and that those violations resulted in damages. Notably, Davis worked for Raymond James (his employer from 2013 to 2019), Morgan […]

Dominion Portfolio Management Clients File Disputes About Broker Lance Walston Soreide Law Group comes to you with new information in regard to securities broker Lance Colby Walston (CRD#: 4440958, San Antonio, Texas). Evidently, Walston worked as a securities broker for Raymond James (2007 to 2009), LPL Financial (2009 to 2017), Dominion Portfolio Management Inc. (2017 […]

First Allied Securities Client Takes Issue With Broker Ron McCook's Sales Practices The Financial Industry Regulatory Authority (FINRA) BrokerCheck shows that investors filed disputes about securities broker McCook, also known as “Ron McCook” (CRD#: 4155186, Scottsdale, Arizona). Evidently, McCook worked for securities firms Sagepoint Financial and National Planning Corporation before joining First Allied Securities as […]

Raymond James Client's Suitability Dispute Reportedly Involves Broker Bill Conn Financial Industry Regulatory Authority (FINRA) provides new information in regard to securities broker William Joseph Conn (“Bill Conn”) (CRD#: 1477107, San Francisco, California). Specifically, three investors filed disputes about the securities broker, who worked for Salomon Smith Barney and Raymond James. Here’s more on the […]

Oppenheimer Securities Broker Dennis Ayre Barred By FINRA And Involved In Investor Disputes About Foresight Energy LP Stock Transactions Soreide Law Group is reviewing potential investor lawsuits against securities broker Dennis Phillip Ayre (CRD#: 5365176, Beverly Hills, California). Evidently, Ayre, who worked for broker-dealers including Hilltop Securities (2019 to 2020), Oppenheimer Co. Inc. (2014 to […]

Independent Financial Group Clients Allege Unsuitable Transactions, Breach Of Fiduciary Duty By Broker Aubrey Morrow Soreide Law Group is reviewing potential investor disputes regarding securities broker William Aubrey Morrow (CRD#: 836500, San Diego, California). According to FINRA BrokerCheck, Morrow worked as an Independent Financial Group securities broker from 2004 to 2018 and as an Independent […]

Aegis Capital Clients Allege Sales Practice Violations By Dennis Herrera The Financial Industry Regulatory Authority (FINRA) contains important information concerning securities broker Dennis Daniel Herrera (CRD#: 4618370, Miami, Florida). BrokerCheck shows that Herrera has worked as an Aegis Capital Corp. securities broker since March 2016. He also worked for firms including Blackbook Capital and Hunter […]

Cadaret Grant Client Alleges Unsuitable OTC Trades By Broker Gerald Dewes The Financial Industry Regulatory Authority (FINRA) contains new disclosures in regard to securities broker Gerald Roger Dewes (CRD#: 2465538, East Amherst, New York). Namely, Dewes, who used to work for securities firm Cadaret Grant Co., faces investor disputes. Not only that, but FINRA barred […]