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 […]

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 […]