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 […]

Investor Alleges Sales Practice Violations By Money Management Advisory's Edgar Mock Soreide Law Group comes to you with new information in regard to securities broker Edgar Davis Mock (CRD#: 1309680, Feasterville, PA). Namely, an investor alleged sales practice violations, including breach of fiduciary duty, in a dispute involving Mock. This concerns Mock's actions at Money […]

Investor Disputes Center Around IBN Securities Broker Robert Star The Financial Industry Regulatory Authority (FINRA) contains important information regarding securities broker Robert Mark Star (CRD#: 3235830, Bluffton, South, Carolina). Evidently, Star worked for securities firms UBS PaineWebber, EDI Financial, Source Capital Group, Starvangrouw Financial, IBN Financial Services, and IBN Advisory Services. Star has been a […]

Securities Broker Mark Huber Involved In Investor Disputes Involving Concorde Investment Services Clients It appears that securities broker Mark Huber (CRD#: 5976354, Racine, Wisconsin) is involved in disputes alleging sales practice violations. Evidently, Huber joined Concorde Investment Services as a securities broker in March 2012. He also became a financial advisor there in July of […]

Money Concepts Capital Corp Clients Allege Unsuitable Investments By Securities Broker Craig Sutherland Soreide Law Group is reviewing potential investor claims to be brought against securities broker Craig Alan Sutherland (CRD#: 2001873, Columbus, Ohio). Evidently, Sutherland worked for Money Concepts Capital Corp as a securities broker from May 1994 to May 2021. Notably, 10 investors […]