INVESTOR ALERT: Customer Dispute About SAGEPOINT’S STEPHEN MATTHEWS Stephen Matthews (CRD#: 1878065, Dublin, Ohio) is a general securities representative of SagePoint Financial, Inc. According to Stephen Matthews’ Financial industry Regulatory Authority (FINRA) BrokerCheck Report, Stephen Matthews, who has been with SagePoint Financial, Inc. since August 16, 2013, is the subject of an investor’s dispute. Here […]

INVESTOR ALERT: Accelerated Capital Group Customer Dispute Involving Aaron Brodt Soreide Law Group is reviewing possible claims of unsuitability against Aaron Paul Brodt (CRD#: 5017914, Scottsdale, Arizona), an Accelerated Capital Group securities representative. Apparently, Brodt’s Financial Industry Regulatory Authority (“FINRA”) BrokerCheck Report shows that four customers complained about him. For example, take a look at […]

INVESTOR ALERT: Claims Against CUSO Financial Services, ERIC SHANKS Eric Olin Shanks a/k/a Eric Shanks (CRD#: 2724083, Richardson, Texas), who was a CUSO Financial Services, L.P. stockbroker, is entangled in investor disputes about his sales practices. Namely, the Financial Industry Regulatory Authority (“FINRA”) reports on BrokerCheck that eight investors brought claims that concerned Shanks. Notably, […]

ATTENTION INVESTORS: Customer Complaints Against TCM Securities Broker Jim Heafner James Hal Heafner a/k/a Jim Heafner (CRD#: 4837072, Charlotte, North Carolina) is an ex-Taylor Capital Management Inc. (now known as TCM Securities, Inc.) broker, and president of Heafner Financial Solutions, whose sales practices have come under fire lately. Heafner, who has appeared on TV stations […]

FINRA Bars Craig Scott Broker Edward Beyn For Excessive Trading, Churning Edward Beyn (CRD#: 5406273, Syosset, New York) is an ex Craig Scott Capital securities broker who FINRA barred from the securities industry. Specifically, on January 29, 2019, National Adjudicatory Council (“NAC”) issued a Decision in Matter #2015044823501, affirming a July 31, 2017 Extended Hearing […]

SEC Bars Wedbush Securities Broker Timary Delorme For Fraudulent Trading Scheme The Securities and Exchange Commission (“SEC”) issued an Order #3-18410 dated March 27, 2018 barring Wedbush Securities Inc. broker Timary Delorme (CRD#: 736418, Los Angeles, California) from engaging in brokerage or investment advisory activities. Specifically, Delorme, 60, submitted an Offer of Settlement to the […]

Soreide Law Group Investigating Possible Claims Against Adam Thomas Marquardt Soreide Law Group is investigating possible claims on behalf of those who invested with Adam Marquardt (CRD#: 5307192, Rochester, Minnesota), a securities representative who joined Wells Fargo Advisors Financial Network, LLC on April 23, 2010. Notably, Financial Industry Regulatory Authority (“FINRA”) reported that a customer […]

INVESTORT ALERT: Customer Complaints Filed Against Presidential Brokerage, Gregory Williams Gregory Jon Williams (CRD#: 1561089, Greenwood Village, Colorado) is a licensed securities representative of Presidential Brokerage, Inc. Apparently, he has transacted with investors through the Greenwood Village, Colorado offices as early as April 20, 2011. The Financial Industry Regulatory Authority (“FINRA”), who regulates broker-dealers and […]

SEC Charges Westport Capital Markets, Christopher McClure With Fraud Westport Capital Markets president and CEO, Christopher Edward McClure (CRD#: 2289844, Westport, Connecticut), face charges by United States Securities and Exchange Commission (the “SEC”) for defrauding advisory customers. Specifically, on December 11, 2017, SEC filed Case 3:17cv2064 in the United States District Court for the District […]