Prospera, HD Vest Investors Bring Disputes About Michael Kamperman The Financial Industry Regulatory Authority (FINRA) reports new disputes involving HD Vest Investment Services securities broker Michael Kamperman (CRD#: 2002603, Waco, Texas). In fact, FINRA BrokerCheck shows that five investors filed complaints or FINRA arbitration claims alleging sales practice violations by Kamperman. Not only that, but […]

Money Concepts Broker Dustin Shafer Barred As Securities Broker, Involved In Investor Disputes Soreide Law Group is reviewing whether to bring investor claims against Money Concepts Capital Corp securities broker Dustin Paul Shafer (CRD#: 4198962, Springfield, Illinois). Notably, as of January 7, 2021, Shafer’s securities broker privileges have been taken away by State of Illinois […]

Investors File Disputes About Broker Todd Ellentuck (Aegis, UBS) The Financial Industry Regulatory Authority (“FINRA”) reports serious information about a securities broker by the name of Todd Michael Ellentuck (CRD#: 1321452, Morristown, New Jersey). Mainly, at least three investors disputed Ellentuck’s sales practices. In addition, UBS Financial Services Inc. disaffiliated with Ellentuck due to unauthorized […]

FINRA Arbitration Panel Orders Sunset Financial To Compensate Client For Private Placement Losses The Financial Industry Regulatory Authority (“FINRA”) reports that certain investors who experienced losses from private placements have recovered compensation in a lawsuit against Sunset Financial Services Inc. Evidently, that dispute, which clients filed in December of 2017, reportedly concerns Walton Vista Del […]

Oppenheimer Clients File Investment Disputes About Michael Greenfield Soreide Law Group is reviewing whether to bring possible investor lawsuits against securities broker Michael Robert Greenfield (CRD#: 5406611, Boca Raton, Florida). Namely, Financial Industry Regulatory Authority (“FINRA”) reports that eight investors filed complaints or FINRA Arbitration Claims in regard to his sales practices. These disputes allege […]

Santander Securities Clients File Investment Disputes About Luis Lopez The Financial Industry Regulatory Authority (FINRA) contains troubling information on securities broker Luis Currais Lopez (CRD#: 856211, Dorchester, Massachusetts). The securities broker, who worked for Santander Securities (2010 to 2016) and Herbert J. Sims (2016 to present), is involved in 12 investor disputes. These disputes allege […]

Park Avenue Securities' Robert Wynn Involved In Investors' Suitability Disputes Investors have come forward to challenge the sales practices of securities broker Robert Charles Wynn (CRD#: 2458453, Glendale, California). The securities broker, who worked for securities firm Park Avenue Securities from 1999 to 2017, is involved in at least seven investor disputes. Notably, investors allege […]

Laidlaw Securities Broker Joseph Fedorko Involved In Disputes Over His Trading Practices The Financial Industry Regulatory Authority (“FINRA”) reports troubling information regarding Laidlaw securities broker Joseph Michael Fedorko Jr. (CRD#: 2007317, Greenwich, Connecticut). Evidently, 18 investors have come forward to dispute Fedorko’s sales practices. These disputes allege various sales practice violations including suitability, misrepresentation, breach […]

Broker Murray Petersen Involved In SCF Investor Disputes The investment loss recovery team at Soreide Law Group provides you with this Investor Alert in regard to securities broker Murray Petersen (CRD#: 1311730, Roseville, California), who is on the receiving end of multiple investor disputes. Evidently, this broker, who also goes by the name Todd Peterson, […]