UBS Clients Take Issue With Matt Buchsbaum's Options Overlay Strategy Recommendation Soreide Law Group is reviewing possible investor claims against broker Matthew Stern Buchsbaum (CRD#: 2220565, New York, New York). According to FINRA BrokerCheck, a number of his clients filed disputes about his sales practices. In fact, clients suggest that Buchsbaum placed them in unsuitable […]

Morgan Stanley Clients Suggest Broker Angel Aquino-Velez Sold Unsuitable Puerto Rico Bonds The investor disputes continue to add up for securities broker Angel Edgardo Aquino-Velez (CRD#: 2687333, Miami, Florida). Namely, FINRA BrokerCheck shows that the securities broker, who worked for Morgan Stanley from 2010 to 2017, seemingly caused losses to 26 or more investors from […]

Wedbush Clients Indicate That Financial Advisor Mark Heiden Breached Fiduciary Duty Investors continue to come forward with disputes about securities broker W. “Mark” Heiden (CRD#: 2885156, Newport Beach, California). Namely, the financial advisor, who worked for firms including Wedbush Securities and Morgan Stanley, reports a whopping 18 investor disputes on FINRA BrokerCheck. Evidently, the majority […]

Kovack Broker Andrew Corbman Allegedly Breached A Fiduciary Duty Investor Alert! Financial Industry Regulatory Authority (“FINRA”) BrokerCheck signals troubling information in regard to securities broker Andrew Corbman [CRD#: 2513558, Lansdowne, Virginia]. Apparently, at least 19 clients took issue with the securities broker, who worked for Kovack Securities (2011-2015) and Newbridge Securities Corporation (2015-2016). Not only […]

Broker Jay Zwibel Sold Unsuitable Investments, Clients Suggest Investors are bringing lawsuits indicating that their losses have been caused in part by securities broker Jason “Jay” Bell Zwibel [CRD#: 2460258, Wellington, Florida]. Apparently, the securities broker, who joined Garden State Securities in January 2010, discloses via Financial Industry Regulatory Authority (“FINRA”) BrokerCheck that at least […]

Investors Indicate That Larry Fawcett Misrepresented Investments Soreide Law Group is looking into potential investor disputes against securities broker Lawrence “Larry” John Fawcett Jr. [CRD#: 5851474, Los Angeles, California]. Notably, Financial Industry Regulatory Authority (“FINRA”) sanctioned the securities broker 3 times between 2017 and 2019. Also, at least 8 clients brought complaints about Fawcett, and […]

Broker Roger Owens Allegedly Deceived Investors Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports alarming information in regard to securities broker Roger Lee Owens [CRD#: 2359204, Elkton, Maryland]. Notably, at least 4 clients filed formal disputes about the securities broker, who worked for Cetera Advisors between 2007 and 2019. Also, FINRA issued him a […]

Broker Susan Welo Involved In Investor Disputes Soreide Law Group is looking into potential investor disputes against securities broker Susan Welo [CRD#: 1884407, Mayville, North Dakota]. Apparently, North Dakota Securities Department brought a Cease and Desist action against the securities broker, who worked for Cetera Advisor Networks and Securities America. Not only that, but Welos' […]

Broker Jeffrey Larson Involved In Third Investment Dispute Investors are coming forward with disputes concerning securities broker Jeffrey Scott Larson [CRD#: 4836889, Kirkwood, Missouri]. Notably, the securities broker, who associated with Larson Financial Securities from July 2010 to August 2017, reports 3 investor disputes on Financial Industry Regulatory Authority (“FINRA”) BrokerCheck. Apparently, Larson Financial Securities […]