SEC Contemplating Barring ERNEST ROMER The Securities and Exchange Commissions issued an Order February 22, 2019 commencing administrative proceedings to determine whether to bar securities broker Ernest Romer III (CRD#: 2311741, Shelby Township, Michigan). Evidently, SEC initiated these proceedings due to Romer’s criminal conviction on 13 counts of embezzlement. Here's more on the alarming allegations […]

Losses From MICHAEL FISHER, WELLS FARGO? Soreide Law Group is investigating possible claims on behalf of investors against prior Wells Fargo Advisors, LLC representative Michael Fisher (CRD#: 4056114, Melville, New York). Fisher, who worked for Wells Fargo from 2012 to 2016 and who since affiliated with Ameriprise Financial Services, discloses through FINRA BrokerCheck that four […]

Did Debra Lambert Excessively Trade Your Account? The Financial Industry Regulatory Authority (“FINRA”) reports troubling allegations against Raymond James and Merrill Lynch securities broker Debra Lambert (CRD#: 2238553, The Villages, Florida). Notably, at least 1 Raymond James client and 2 Merrill Lynch clients filed disputes contesting Lambert’s sales practices. Here’s a summary of the allegations […]

MICHAEL GIOKAS Barred By FINRA Did you invest with Fortune Financial Services securities broker Michael Giokas (CRD#: 1398674, Clarence, New York)? The securities broker, who FINRA barred in March 2018 for refusing to cooperate in a regulatory investigation, reports more than six client disputes since November 2017. Notably, clients suggest in those disputes that Giokas […]

RYAN LEE Cause Your Investment Losses? Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) BrokerCheck report for prior Fidelity Brokerage Services LLC broker Ryan Lee (CRD#: 4169548, Wayne, New Jersey) confirms that clients disputed his sales practices. In addition to the five plus investors who took aim at Lee’s sales practices, Fidelity discharged him for […]

Did DANA VIETOR Cause Your Investment Losses? Soreide Law Group is reviewing potential investor claims against CFD Investments, Inc. securities broker Dana Bruce Vietor (CRD#: 873129, Dallas Texas). Notably, the Financial Industry Regulatory Authority (“FINRA”) shows six clients disputed Vietor’s sales practices. Here’s a summary of the allegations against Vietor that investors should be aware […]

GEORGE CRAIG MERHOFF Barred By FINRA The Financial Industry Regulatory Authority (“FINRA”) confirmed June 14, 2019 that it barred Cetera Advisors LLC securities broker George Craig Merhoff Jr. (CRD#: 2918171, Klamath Falls, Oregon) from the securities industry. Evidently, Merhoff executed Letter of Acceptance, Waiver, and Consent (“AWC”) #:2018057331001 on June 3; FINRA accepted it June […]

ATTENTION INVESTORS: Losses From JAMES LUNSFORD? James Lunsford (CRD#: 2222307, Sonoma, California) is a prior Mid Atlantic Capital Corporation securities broker. Notably, Lunsford, who worked for Mid Atlantic Capital Corporation from May 3, 2004 to December 4, 2015, discloses six client disputes on FINRA James Lunsford (CRD#: 2222307, Sonoma, California) is a prior Mid Atlantic […]

ATTENTION INVESTORS: Complaint Against Lombard Securities About ERIC ZAKARIN Have you suffered investment losses with Lombard Securities broker Eric Zakarin (CRD#: 1708397, Cranford, New Jersey)? Investors should take caution if investing with Zakarin because of investors’ and his previous employers’ allegations against him. Take a look at some of the customer disputes involving Zakarin: Lombard […]