Aegis Clients Call Attention To Securities Broker Thomas Duggan In Investor Disputes Financial Industry Regulatory Authority (“FINRA”) BrokerCheck contains important disclosures regarding securities broker Thomas Duggan (CRD#: 2757615, Melville, New York) that is relevant to investors. Specifically, investor disputes alleging excessive trading, unsuitable trading and unauthorized trading are on the record of the securities broker, […]

Raymond James Clients File Disputes About Securities Broker John Cassandra Soreide Law Group provides you with the following information in regard to securities broker John Edward Cassandra (CRD#: 4270866, Boynton Beach, FL). Evidently, Cassandra, who works for Raymond James Financial Advisors as financial advisor (2009 to present) and securities broker (2004 to present), is involved […]

Aegis Investment Corp Clients File Disputes About Securities Broker Cory Bataan The Financial Industry Regulatory Authority (“FINRA”) reports important information regarding securities broker Cory David Bataan (CRD#: 2755223, Melville, New York). Notably, the securities broker, who worked for Aegis Capital Corp from 2012 to 2019, is involved in investor disputes involving clients of that firm. […]

Edward Jones Clients Target Broker Ronald Radner For Alleged Unsuitable Transactions The Financial Industry Regulatory Authority (“FINRA”) shows through BrokerCheck that investors filed disputes about securities broker Ronald James Radner (CRD#: 5834701, Delray Beach, Florida). Allegations include investor losses caused by unsuitable investment transactions. Here’s more information on these disputes about the securities broker, who […]

Securities Broker Rich Braverman Is Involved In Geneos Wealth Management Client Disputes Soreide Law Group has come across important information in regard to securities broker Richard Mark Braverman (CRD#: 1023227, Lancaster, Pennsylvania). Namely, two of Braverman’s clients brought investment disputes about him. These dispute allege that Braverman caused them to experience investment losses by way […]

Broker David Turetzky Is Involved In Morgan Stanley, Ameriprise Investor Disputes The Financial Industry Regulatory Authority (FINRA) reports that 5 investors filed disputes about securities broker David Charles Turetzky (CRD#: 2954337, Saddle Brook, New Jersey). Namely, these disputes contain allegations of sales practice violations that caused damages to investors. Here’s more. Ameriprise Financial Services Client […]

Morgan Stanley Clients Take Aim At Broker Jeffrey Cadan Regarding Suitability, Excessive Trading New investor disputes have emerged on the Financial Industry Regulatory Authority (FINRA) BrokerCheck report for securities broker Jeffrey Neil Cadan (CRD#: 2726285, New York, New York). It appears that three clients filed disputes in 2020, and a number of additional disputes have […]

Investor Disputes Involving David Krispeal Allege Unauthorized, Excessive Trading The Financial Industry Regulatory Authority (FINRA) reports important information that you should know in regard to securities broker Solomon David Krispeal (CRD#: 2735776, Hauppauge, NY). Notably, at least 8 investors filed disputes (complaints, FINRA Arbitration Claims) alleging that Krispeal engaged in sales practice violations including excessive […]

Infinity Q Diversified Alpha Fund Losses Because Of Financial Advisors Soreide Law Group is evaluating possible investor disputes against financial advisors and securities brokers who made unsuitable recommendations regarding Infinity Q Diversified Alpha Fund. Earlier this year, Infinity halted distributions to investors. Things are still a mess. Here’s a quick snapshot of what is going […]