Raymond James & Associates Subject Of Customers’ Fraud Allegations Soreide Law Group is investigating claims on behalf of those who invested with Raymond James registered representatives including Jonathan Towne Melges, Philip Thomas Maurer, Mark David Kopkin, Eric Paul Frey and Clay Cale Rucker. Raymond James & Associates, Inc. (CRD#: 705, Saint Petersburg, Florida) is a […]

Edward Jones Sued By Customers Alleging Suitability, Negligence Soreide Law Group is investigating claims on behalf of those who invested with Edward Jones financial advisors including Joe Alan Green, Krystie Lynn Wear, Edward Hardy Dawkins, Kevin Scott Lake and Regina Sheila Gleghorn. Edward Jones (CRD#: 250, Saint Louis, Minnesota) is a Financial Industry Regulatory Authority […]

Customers File Claims Against David Lerner Associates For Misrepresentation David Lerner Associates, Inc. (CRD#: 5397, Syosset, New York) is a brokerage firm regulated by Financial Industry Regulatory Authority (“FINRA”) who has reported 21 regulatory events and 17 arbitrations concerning allegations and findings of David Lerner Associates, Inc. violations of investment-related rules or regulations, customer harm, […]

Investment Disputes Against Ameriprise Alleging Unsuitability, Fraud Ameriprise Financial Services Inc. (CRD#: 6363, Minneapolis, Minnesota) is a brokerage firm regulated by Financial Industry Regulatory Authority (“FINRA”). It has reported 78 regulatory events and 96 arbitrations concerning allegations of Ameriprise’s violations of investment-related rules or regulations. The firm has also reported instances in which customers were […]

Stifel Nicolaus Customer Sues Firm For Breach Of Fiduciary Duty Scott Alan Sanders (CRD# 3063288, Fort Myers, Florida) has been a registered representative of Stifel, Nicolaus & Company, Incorporated since January 15, 2009. Sanders disclosed on FINRA BrokerCheck that his activities led Stifel Nicolaus customers to file a customer-initiated investment-related arbitration dated July 9, 2018 […]

A Financial Industry Regulatory Authority (FINRA) arbitration panel recently awarded a former client of Commonwealth Financial Network of Waltham, Massachusetts, $580,000. According to the FINRA report, the client had claimed his Commonwealth advisor, who was not named in the filing, breached his fiduciary duty. The advisor allegedly recommended to his client to retire early and […]

The following information was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, August, 2013,” by Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552. Warren Leroy Troutman (CRD #449648, Registered Representative, Freeport, Pennsylvania) was fined $5,000 and suspended from association with any FINRA member in any capacity for two months. Without admitting […]

The following information was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, August, 2013,” by Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552. Warren Leroy Troutman (CRD #449648, Registered Representative, Freeport, Pennsylvania) was fined $5,000 and suspended from association with any FINRA member in any capacity for two months. Without admitting […]

A FINRA arbitration panel ordered Wells Fargo & Co.'s (WFC) retail brokerage unit to pay retired real-estate broker, Philip Lovell, $1.8 million for losses tied to investments in soda and pharmaceutical companies. Lovell accused Wells Fargo Advisors and Wells Fargo broker, John Bulkley Meacham, of having him invest his money in thinly traded securities that […]