Soreide Law Group is investigating potential investor claims involving TechCreate Group Ltd. (TCGL) stock, particularly whether brokers or financial advisors improperly recommended this security despite emerging warning signs. TCGL is a publicly traded foreign holding company whose shares were subject to an SEC trading suspension, raising serious concerns for investors. There is significant adverse regulatory […]

Investors might have sustained losses due to securities broker Bradley Owen Davidson [CRD: 5142256, Mission Viejo, California], given the publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Davidson has been registered with Emerson Equity LLC since February 2, 2024, and previously worked for firms including Secure Asset Management LLC from February 22, […]

Investors have reportedly disputed the sales practices of securities broker Sean Burr [CRD: 6421939, West Hills, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Sean Burr worked for Centaurus Financial Inc. starting April 22, 2015, as a broker and June 8, 2015, as a financial advisor. Keep reading to discover more about […]

Investors potentially experienced sales practice violations by securities broker James V. Peters (also known as Jim Peters) [CRD: 2665577, Costa Mesa, California], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Peters has worked for Centaurus Financial Inc. since May 7, 2012 as a broker and since May 22, 2012 as a […]

Investors might have sustained losses due to securities broker Tammy Tenney Paquette (also known as Tammy G. Tenney) [CRD: 5110668, Tucson, Arizona], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Tammy Paquette worked for LPL Financial LLC from April 19, 2012, to the present, and was also registered as a […]

Investors potentially incurred losses because of securities broker Jeffrey Michael Warren (also known as Jeff Warren) [CRD: 5616071, Antioch, California], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Warren worked for Crown Capital Securities L.P. from February 7, 2013, to February 14, 2024, and has been registered with Vanderbilt Securities […]

Investors potentially experienced sales practice violations by securities broker Zhi Ying Guan (also known as Jeff Guan and Jeffrey Guan) [CRD: 7000349, San Mateo, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Zhi Guan worked for Emerson Equity LLC since December 18, 2020. Keep reading for a better understanding about the disclosures […]

Investors apparently complained about securities broker Brittany Danielle Slater-Gautreau (also known as Tany Gautreau and Tany Slater) [CRD: 4885737, Overland Park, Kansas], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Brittany Slater-Gautreau worked for Westpark Capital Inc. from November 20, 2017, to October 30, 2020, American Trust Investment Services Inc. from […]

Investors potentially experienced sales practice violations by securities broker James Charles Killeen [CRD: 2666093, Pasadena, California], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. James Killeen worked for Stifel Nicolaus Company Incorporated from July 6, 2009, to February 23, 2024. Read on to discover more about the disclosures involving this securities […]