IAA, Chelsea Clients File Suitability Disputes Involving Broker Charles Bloom Soreide Law Group comes to you with new information relating to securities broker Charles Lewis Bloom (CRD#: 4144108, Royal Palm Beach, Florida). It appears that the disclosures involving Bloom concern his employment at securities firms IAA Financial LLC (his employer from 2014 to 2015), International […]

Dominion Portfolio Management Clients File Disputes About Broker Lance Walston Soreide Law Group comes to you with new information in regard to securities broker Lance Colby Walston (CRD#: 4440958, San Antonio, Texas). Evidently, Walston worked as a securities broker for Raymond James (2007 to 2009), LPL Financial (2009 to 2017), Dominion Portfolio Management Inc. (2017 […]

First Allied Securities Client Takes Issue With Broker Ron McCook's Sales Practices The Financial Industry Regulatory Authority (FINRA) BrokerCheck shows that investors filed disputes about securities broker McCook, also known as “Ron McCook” (CRD#: 4155186, Scottsdale, Arizona). Evidently, McCook worked for securities firms Sagepoint Financial and National Planning Corporation before joining First Allied Securities as […]

Accelerated Capital Investor Disputes Reportedly Concern Broker Tim Thelen Soreide Law Group discusses important investor-related information regarding securities broker Thelen, also known as “Tim Thelen” (CRD#: 1924966, Middletown, New Jersey). It appears that Thelen worked as a securities broker for Berthel Fisher, Next Financial Group, Accelerated Capital Group, and Aeon Capital. One or more investors […]

Broker Michael McNulty Involved In Disputes Brought By Raymond James Clients Soreide Law Group provides you with an update regarding the FINRA BrokerCheck disclosures relating to securities broker Michael McNulty, also known as “Mike McNulty” (CRD#: 1493933, Boca Raton, Florida). It appears that McNulty worked for UBS PaineWebber and Raymond James before joining Lincoln Financial […]

Broker Steven Maher Sanctioned, Involved In Investor Dispute Financial Industry Regulatory Authority (FINRA) discloses through BrokerCheck that it sanctioned securities broker Steven Maher (CRD#: 1011535, Oradell, New Jersey) and that an investor disputed Maher’s sales practices. Evidently, Maher worked for securities firms American General Securities Incorporated, Sagepoint Financial, and Next Financial Group. He joined American […]

Broker Rafael Gonzalez Subject Of UBS Financial Investor Disputes The Financial Industry Regulatory Authority (FINRA) contains new information regarding securities broker Rafael Alberto Gonzalez (CRD#: 2096117, Coral Gables, Florida). It appears that Gonzalez worked for securities firms UBS Financial Services and Santander Securities before joining Morgan Stanley. Evidently, he is both a financial advisor and […]

Client Disputes Reported On BrokerCheck Profile Of Mark Elafros Soreide Law Group comes to you with new information in regard to securities broker Mark Lee Elafros (CRD#: 2337393, Chicago, Illinois). Evidently, Elafros worked for securities firms Madison Avenue Securities (2013 to 2016), Ausdal Financial Partners (2016 to 2018), American Trust Investment Services Advisory (2018 to […]

Unsuitable Transactions Alleged In Investors' Disputes About Kalos Broker Fred Baerenz Soreide Law Group provides you with information relating to securities broker Frederick “Fred” Peter Baerenz (CRD#: 2388453, Great Falls, Virginia), who worked at securities firms Pacific West Securities, Cetera Advisors, and Kalos Capital. FINRA BrokerCheck indicates that two investors filed complaints about Baerenz at […]