Soreide Law Group is investigating possible investor claims against securities broker Eric Willer [CRD: 2263899, Irving, Texas]. Notably, FINRA sanctioned the securities broker, who worked for Fusion Analytics Securities LLC. Allegedly, Willer made unsuitable recommendations. Here is a brief summary of FINRA’s allegations against Willer. FINRA Sanctions Fusion Analytics Securities LLC Securities Broker For Unsuitable […]

Investors have come forward with complaints about securities broker Clara Chen Tang [CRD: 4852979, Cupertino, California]. Evidently, the securities broker, who worked for Cetera Investment Services LLC, disclosed client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Cetera Investment Services LLC clients allege unsuitable recommendations, breach of fiduciary duty, among other things. For more […]

Investors have come forward with complaints about securities broker James Bernis Lunsford (also known as Jim Lunsford) [CRD: 2222307, Sonoma, California]. Evidently, the securities broker, who worked for Mid Atlantic Capital Corporation, disclosed client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Mid Atlantic Capital Corporation clients allege breach of fiduciary duty, misrepresentation, among […]

Soreide Law Group is investigating possible investor claims against securities broker Matthew Gates (also known as Matt Gates) [CRD: 4727945, New York, New York]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Joseph Gunnar Co. LLC. Notably, investors allege unsuitable recommendations. Here […]

Investors have come forward with complaints about securities broker Elliot Sherer AKA Elliot Hough Sherer [CRD#: 15007, Melville, NY]. Evidently, the securities broker, who worked for Aegis Capital Corp., discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Aegis Capital Corp. clients allege that Sherer breached a fiduciary duty, was negligent, made misrepresentations, […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Brian Roth AKA Brian Robert Roth [CRD#: 4607595, Morristown, NJ]. Evidently, investors disputed the sales practices of the securities broker, who worked for Newbridge Securities Corporation. Additionally, the securities broker discloses a regulatory enforcement action. However, Roth denies the allegations of sales practice […]

Soreide Law Group is investigating possible investor claims against securities broker Anthony Pitta AKA Anthony John Pitta [CRD#: 1958029, Melville, NY]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Capital Investment Group. Notably, investors allege sales practice violations in these disputes, including […]

Investors have come forward with complaints about securities broker Philippus Van Staden AKA Philippus Theunis Van Stadden and Philip Van Staden [CRD#: 4489166, Winter Park, FL]. Evidently, the securities broker, who worked for The Strategic Financial Alliance, discloses client disputes via FINRA BrokerCheck. Evidently, The Strategic Financial Alliance clients allege that Van Staden failed to […]

Investors have come forward with complaints about securities broker Douglas Schmitz AKA Douglas Gene Schmitz [CRD#: 1771132, Fargo, ND]. Notably, the securities broker, who worked for Classic, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Classic clients allege that Schmitz committed sales practice violations. For more on these disclosures about Schmitz, see […]