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 […]

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 […]