Barred Broker Joseph Thurnherr Possibly Breached Fiduciary Duty Soreide Law Group is reviewing possible investor claims of sales practice violations by Joseph Thurnherr (CRD#: 5045624, Red Bank, New Jersey). Notably, FINRA barred Thurnherr for refusing to supply information while under investigation for client complaints. Not only that, but 7 of Thurnherr’s investor clients filed disputes […]

Salomon Whitney Broker Chris Fernan Allegedly Breached Fiduciary Duty, Sold Unsuitable Investments Investor Alert! The Financial industry Regulatory Authority (“FINRA”) reports alarming information about securities broker Chris Anthony Fernan (CRD#: 5896584, Melville, New York). Apparently, a large number of clients filed disputes about the securities broker, who worked for Salomon Whitney Financial (“SW Financial”) from […]

Moloney Securities Broker Joseph Weinrich Allegedly Sold Unsuitable Investments Soreide Law Group is reviewing possible investor claims in regard to securities broker Joseph John Weinrich Sr. (CRD#: 461987, Orange, California). Notably, FINRA BrokerCheck shows that at least three investors complained about the broker, who worked for Moloney Securities from 1999 to 2018. Significantly, these disputes […]

Broker Sean Kelly Apparently Misused Funds, Defrauding Investors Soreide Law Group is reviewing possible investor lawsuits against securities broker Sean Joseph Kelly (CRD#: 2294170, Marietta, Georgia). Evidently, the Financial Industry Regulatory Authority (“FINRA”) reports that 6 investors brought disputes about the securities broker, who worked for Capital Financial Services (2012 to 2017) and Center Street […]

Centaurus Clients Indicate Broker Ricky Mantei Breached Fiduciary Duty The Financial Industry Regulatory Authority (“FINRA”) reports troubling allegations of sales practice violations by Ricky Alan Mantei (CRD#: 1098981, Lexington, South Carolina). Specifically, the financial advisor, who worked for firms JP Turner & Company, LLC (March 2010 to June 2015) and Centaurus Financial, Inc. (May 2015 […]

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 […]