Investors possibly experienced sales practice violations because of securities broker William Stuart Horak (also known as Bill Horak) [CRD: 1462594, Tallahassee, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Horak has worked with Purshe Kaplan Sterling Investments since May 5, 2014, and Wealth Management Corporation since November 26, 1990. Below, investors […]

Broker Ronald Giovino (GWN Securities) Barred, Involved In Investor Disputes The Financial Industry Regulatory Authority (FINRA) barred securities broker Ronald Joseph Giovino (CRD#: 2236071, Clearwater, Florida). This means that Giovino cannot be a securities broker with any FINRA-member firm (most securities firms in the country). In addition, it appears that Giovino is involved in disputes […]

Concorde Broker Robert Smith Allegedly Sold Bad GPB Investments Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports troubling information in regard to securities broker Robert Scott Smith (CRD#: 1412333, Newberg, Oregon). Evidently, Smith worked for securities firm Concorde Investment Services LLC from 2011 to 2020. Namely, clients indicate that Smith might have caused their […]

FINRA Investigates Whether Westpark Capital's Harry Datys Sold Unsuitable And Misrepresented Investments Soreide Law Group is reviewing potential lawsuits on behalf of investors against securities broker Harry Datys (CRD#: 1877750, New York, New York). Apparently, Financial Industry Regulatory Authority (“FINRA”) recommends disciplinary action against the securities broker, who worked for Westpark Capital from June 10, […]

Cetera's Ken Balser Allegedly Sells Bad Tesoro Del Alma Investments The Financial Industry Regulatory Authority (“FINRA”) reports troubling allegations of misconduct by securities broker Ken Balser (CRD#: 704053, Colorado Springs, Colorado). The former Cetera Advisors securities broker, who the firm disaffiliated with for private securities transactions, has been involved in four disputes and a pair […]

Securities Broker Curt Howard Allegedly Caused Investor Losses Soreide Law Group is reviewing whether to take legal action on behalf of investors against securities broker Curtis Lee Howard (CRD#: 1390753, Sapulpa, Oklahoma). Mainly, FINRA BrokerCheck shows that the securities broker is involved in two investment disputes. Not only that, but Edward Jones – Howard’s employer […]

Investors Face Peril From Hi-Crush's Chapter 11 Bankruptcy Investors might be facing losses after Houston, Texas based energy company Hi-Crush Inc. (NYSE: HCR) filed for Chapter 11 bankruptcy protection in the United States Bankruptcy Court for the Southern District of Texas. Soreide Law Group is reviewing possible investor lawsuits against those financial advisors and securities […]

Barred Cadaret Grant Broker Gerald Dewes Possibly Caused Investor Losses Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) BrokerCheck Reports shows that 5 investors brought disputes about securities broker Gerald R. Dewes (CRD#: 2465538, East Amherst, New York). Supposedly, Dewes made unsuitable investment recommendations to Cadaret Grant clients. Not only that, but after Cadaret Grant […]

Broker Jason Wilk Possibly Made Unsuitable Trades Financial Industry Regulatory Authority (“FINRA”) BrokerCheck reveals quite troubling information in regard to securities broker Jason Andrew Wilk (CRD#: 6072438, New York, New York). Evidently, FINRA suspended Wilk as a securities broker between 2019 and 2020 for non-compliance with a request for information. Not only that, but no […]