Soreide Law Group is investigating possible investor claims against Phil Donahue (also known as Joseph Philip Donahue) (CRD: 1206346, Panama City Beach, Florida). Evidently, Florida State Insurance Commission sanctioned the securities broker, who worked for PFS Investments Inc. Here is a brief summary of Florida State Insurance Commission’s and FINRA’s allegations against Donahue. Florida State […]

Investors have come forward with complaints about securities broker Michael Joseph Distler (also known as Mike Distler) (CRD: 6130680, Crystal City, Missouri). Evidently, the securities broker, who worked for National Planning Corporation, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, National Planning Corporation clients allege that Distler made unsuitable recommendations, breached a […]

Soreide Law Group is investigating possible investor claims against Justin Walt Parker (CRD: 4364398, Del Mar, California). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Hilltop Securities Inc. Evidently, one or more investors alleged misconduct in these disputes, including that Parker made […]

Investors have come forward with complaints about securities broker Julie Lan Cohen (also known as Julie Law) (CRD: 1424275, Camarillo, California). Evidently, the securities broker, who worked for Mutual Securities Inc., discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Mutual Securities Inc. clients allege that Cohen breached a contract, breached a fiduciary […]

Investors have come forward with complaints about Timothy Allen Thelen (also known as Tim Thelen) (CRD: 1924966, Scottsdale, Arizona). Evidently, the securities broker, who worked for Aeon Capital Inc., discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Particularly, Aeon Capital Inc. clients allege that Thelen breached a contract, breached a fiduciary duty, was […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Avi Elliot Schottenstein (CRD: 5708665, New York, New York). Not only has Illinois moved for sanctions against Schottenstein, but one or more investors disputed the sales practices of the securities broker. However, Schottenstein denies the allegations. Read on to learn more about the […]

Soreide Law Group is investigating possible investor claims against securities broker James Charles Naify (CRD: 2316318, Beverly Hills, California). Evidently, Merrill Lynch Pierce Fenner Smith Incorporated terminated the securities broker for cause. Also, a UBS Financial Services Inc. investor complained about him. Here is a brief summary of the allegations against Naify. Merrill Lynch Pierce […]

Soreide Law Group is investigating possible investor claims against securities broker Mark Samuel Epps (CRD: 2185338, Bloomfield Hills, Michigan). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Broadstone Securities. Supposedly, one or more individuals claim that Epps breached a fiduciary duty and […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Terry Tzagarakis (also known as Terry Rakis) (CRD: 2796055, New York, New York). Not only has FINRA sanctioned him for engaging in excessive trading, but investors disputed his sales practices. However, Tzagarakis denies the allegations. Read on to learn more about the allegations […]