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March 13, 2024
Travis Hudson Involved In Investor Disputes Alleging Breach Of Fiduciary Duty

Investors may have experienced damages due to the actions of securities broker Travis E. Hudson [CRD: 4825700, Columbia, South Carolina], according to disclosures on the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Hudson has worked for Pruco Securities LLC since October 6, 2004, and with Prudential Financial Planning Services since October 11, 2005. Here’s more on […]

March 11, 2024
Sean Kane Facing SEC Charges For Failing To Act In Clients' Interests

Some investors have potentially experienced damages because of securities broker Sean Michael Kane [CRD#: 5778281, York, Pennsylvania], according to disclosures through FINRA and SEC. Evidently, Kane worked with Cambridge Investment Research Inc. from March 25, 2021, to March 30, 2023, and with Waddell Reed from October 2, 2018, to March 3, 2021. Read on to […]

March 11, 2024
Scott Royal Facing Northwestern Mutual Client Dispute

Soreide Law Group is reviewing potential investor claims on behalf of individuals who incurred losses from securities broker Scott Allen Royal [CRD: 1801461, Omaha, Nebraska]. Evidently, Scott Royal has worked for Northwestern Mutual Investment Services LLC since June 2, 1988. Read on to learn more about Scott Royal's disclosures. Northwestern Mutual Investment Services LLC Investor […]

March 8, 2024
Randall Raymond Facing SagePoint Investors’ Negligence Complaints

Soreide Law Group is reviewing potential investor claims on behalf of individuals who incurred losses from securities broker Randall Leigh Raymond (also known as Randy Raymond) [CRD: 1041994, Lincoln, Nebraska]. Particularly, Raymond worked for SagePoint Financial Inc. from July 8, 2011, to September 1, 2023. Keep reading to learn more about the disclosures involving Randall […]

March 7, 2024
Ralph Courtland In Wells Fargo Client Complaints About Suitability

Investors potentially experienced investment losses through securities broker Ralph Dennis Courtland [CRD: 4374698, Fairfield, New Jersey], according to disclosures on the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Courtland has worked for Wells Fargo Clearing Services LLC since January 1, 2008. Courtland's disclosures include allegations of unsuitable recommendations, breach of fiduciary duty, and misrepresentation. These […]

February 27, 2024
Tory Duggins Suspended By FINRA For Excessive Trading At Spartan Capital

Investors may have encountered financial setbacks due to the actions of Tory Duggins [CRD: 4556340, New York, New York], based on disclosures found on the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Duggins was previously registered with Spartan Capital Securities LLC in New York, NY, from February 29, 2016, to January 31, 2024. Read on […]

February 22, 2024
Andrew Miles Involved In Green Vista Client’s Misrepresentation Disputes

Investors may have experienced damages due to the actions of securities broker Andrew William Miles [CRD: 5986774, Winter Park, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Miles was previously registered as a financial advisor and securities broker, with his most recent registration at Green Vista Capital LLC from July 18, […]

February 21, 2024
Leslie Kern Involved In D.H. Hill Clients’ Misrepresentation Disputes

Investors potentially experienced investment losses through securities broker Leslie Howard Kern (also known as Les H. Kern) [CRD: 1140180, Wilmington, North Carolina]. Evidently, Kern has worked with D.H. Hill Securities, LLLP in Wilmington, NC since January 4, 2016, and with D.H. Hill Advisors Inc. in Kingwood, Texas since February 10, 2016. Continue reading to discover […]

February 19, 2024
Charles Weldon Accused Of Negligence In Cetera Client Disputes

Soreide Law Group is investigating possible investor claims on behalf of those who incurred losses through securities broker Charles Raymond Weldon [CRD: 1030659, Boca Raton, Florida]. Evidently, Weldon has worked for Independent Financial Group LLC in Boca Raton, FL since March 30, 2022, as a securities broker, and since April 6, 2022, as a financial […]

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