Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Doron Kochavi [CRD: 1011155, Pasadena, California], given the disclosures on FINRA BrokerCheck. Evidently, Kochavi worked for Western International Securities Inc. from October 19, 2015, to January 4, 2024. Keep reading to learn more about Kochavi’s disclosures. Regulator Sanctioned […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker David Bruce McMillen [CRD: 1198070, Boulder, Colorado], given the disclosures on FINRA BrokerCheck. Evidently, McMillen joined Crown Capital Securities LP on January 2, 2003. During his employment, clients filed complaints about his sales practices. Continue reading to uncover […]

Investors might have sustained losses due to securities broker Austin Richard Dutton Jr. (also known as Austin Duttin) [CRD: 2739167, Doylestown, Pennsylvania], according to disclosures on FINRA BrokerCheck. Evidently, Dutton worked for several securities firms. This includes American Trust Investment Services Inc. from June 15, 2021, to January 7, 2022, in Doylestown, PA, and Primex […]

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 […]

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 […]

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 […]

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 […]

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 […]

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 […]