Soreide Law Group is investigating possible investor claims against securities broker Chris Stocks (CRD: 2600346, Scottsdale, Arizona). Evidently, Morgan Stanley terminated the securities broker for cause. Here is a brief summary of the allegations against Stocks. Morgan Stanley Disaffiliates With Stocks For Outside Business Activities Supposedly, on November 11, 2021, Morgan Stanley disaffiliated with Stocks. […]

Investors have come forward with complaints about securities broker John Rochester (CRD: 2128760, Santa Fe, New Mexico). Evidently, the securities broker, who worked for Morgan Stanley, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Morgan Stanley clients allege that Rochester breached a fiduciary duty, made misrepresentations, made unsuitable recommendations, failed to perform […]

Investors have come forward with complaints about securities broker Jeffrey Adam Miller (CRD: 4251936, Greenwich, Connecticut). Evidently, the securities broker, who worked for UBS Financial Services Inc., discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, UBS Financial Services Inc. clients allege that Miller made unsuitable recommendations. For more on these disclosures about […]

Soreide Law Group is investigating possible investor claims against securities broker Jeffrey Kiesnoski (CRD: 2688017, Setauket, New York). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Concorde Investment Services LLC. Evidently, investors allege sales practice violations in these disputes, including that Kiesnoski […]

Investors have come forward with complaints about securities broker Gary Isler (CRD: 1514385, Lawrenceville, New Jersey). Evidently, the securities broker, who worked for David Lerner Associates Inc., discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, David Lerner Associates Inc. clients allege that Isler made unsuitable recommendations, made misrepresentations, made omissions, and breached […]

Investors have come forward with complaints about securities broker David Richard Geake (CRD: 3088891, Northbrook, Illinois). Evidently, the securities broker, who worked for Ausdal Financial Partners Inc., discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Ausdal Financial Partners Inc. clients allege that Geake breached a fiduciary duty, breached a contract, and violated […]

Investors have come forward with complaints about securities broker Robert Thomas Crothers (CRD: 1648677, Holbrook, New York). Notably, the securities broker, who worked for American Portfolios Financial Services Inc., discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, American Portfolios Financial Services Inc. clients allege that Crothers gave unsuitable advice, acted unethically, breached […]

Investors have come forward with complaints about securities broker William John Braun (also known as Bill Braun) (CRD: 1271500, Boca Raton, Florida). Evidently, the securities broker, who worked for National Securities Corporation, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, National Securities Corporation clients allege that Braun gave unsuitable advice. For more […]

Investors have come forward with complaints about securities broker Gregory Patrick Bodkin (CRD: 3008389, New York, New York). Evidently, the securities broker, who worked for Worden Capital Management LLC, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Worden Capital Management LLC clients allege that Bodkin breached fiduciary duties, breached a contract, and […]