Broker Dennis Ayre Involved In Disputes Over Foresight Energy Investments Soreide Law Group is investigating possible investor claims to be brought against securities broker Dennis Ayre (CRD#: 5365176, Beverly Hills, California). Notably, seven investors have come forward to dispute the actions of Ayre, who worked for Merrill Lynch, Oppenheimer (2014 to 2017) and Hilltop Securities […]

Broker Jeffrey Broten Barred For Refusing To Comply With Investigators The Financial Industry Regulatory Authority (“FINRA”) reports troubling allegations of sales practice violations by securities broker Jeffrey A. Broten (CRD#: 1006678, Morristown, New Jersey). Broten has worked for National Securities Corporation, First Standard Financial Company and Newbridge Securities Corp. Recently, FINRA barred Broten as a […]

Broker Joshua Turney Is Expelled By SEC, FINRA Investor Alert! The Securities and Exchange Commission (SEC) is the latest regulator to bar securities broker Joshua W. Turney (CRD#: 4510219, San Diego, California), who most recently worked for Global Arena Capital Corp. Also, 11 of Turney’s clients contested his sales practices. Here’s more on the incidents […]

Investors, Regulators Take Action Against David Khezri The Financial Industry Regulatory Authority (“FINRA”) reports troubling allegations of misconduct against securities broker David Khezri (CRD#: 2736831, Hauppauge, New York). Namely, the securities broker, who currently works in Network 1 Financial Securities’ Hauppauge offices (2010 – present) and who also worked for Worden Capital Management (2017 – […]

Broker Brian Roth Reportedly Breached A Fiduciary Duty To Investors And Made Bad Investment Recommendations The investment loss lawyers at Soreide Law Group provide you this investor alert in regard to problem securities broker Brian Robert Roth (CRD#: 4607595, Chester, New Jersey). Apparently, no less than three investors filed disputes about the securities broker, who […]

Securities Broker Bill Baumner Accused By Clients Of Negligence, Breach Of Fiduciary Duty Soreide Law Group is closely reviewing possible investor claims against securities broker William “Bill” Louis Baumner IV (CRD#: 2298690, Boca Raton, Florida). Baumner spent 2010 to 2017 at Buckman, Buckman Reid, who disaffiliated with him for not following company policy on client […]

Spartan Broker Joseph Fuller Allegedly Sold Unsuitable Investments Investor Alert! The Financial Industry Regulatory Authority (FINRA) reports troubling allegations of misconduct by securities broker Joseph Patrick Fuller (CRD#: 5277097, New York, New York). Notably, two of Fuller’s employers parted ways with him for his bad behavior. Not only that, but two clients brought complaints about […]

MSI, Citigroup Broker Brenda Labar Seemingly Breached Fiduciary Duty Soreide Law Group is reviewing possible claims of sales practice violations against securities broker and financial advisor Brenda Louise Labar (CRD#: 4517754, Ontario, California). Apparently, Labar worked for Citigroup and MSI Financial Services before joining Pruco Securities and Prudential Financial Planning Services in July of this […]

Broker Tom Sharp Allegedly Sells Bad REITs Investor Alert! Soreide Law Group provides you this update with respect to securities broker Thomas “Tom” David Sharp (CRD#: 1623353, Gold River, California). Apparently, some of Sharp’s investors filed complaints or lawsuits about him indicating that he caused their losses. FINRA BrokerCheck shows that these complaints suggest that […]