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December 9, 2021
Ronald Giovino Barred, Faces GWN Investor Disputes

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 […]

October 30, 2020
Robert Smith Involved In Suitability 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 […]

August 9, 2020
FINRA Investigating Harry Datys

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, […]

August 7, 2020
Ken Balser Gold Mine Investment Disputes

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 […]

August 7, 2020
Curt Howard Allegedly Breaches Fiduciary Duty

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 […]

July 16, 2020
Losses From Hi-Crush (NYSE: HCR) Bankruptcy?

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 […]

July 12, 2020
GERALD DEWES Alternative Investment Disputes

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 […]

July 8, 2020
JASON WILK Allegedly Made Bad Stock Trades

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 […]

June 25, 2020
Todd Henrich Customer Complaints?

Broker Todd Henrich Made Unsuitable, Unauthorized Transactions Clients who held accounts with securities broker Todd Joseph Henrich (CRD#: 5931911, Iselin, New Jersey) disputed his sales practices. Notably, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck shows that 3 or more clients filed lawsuits about the sales practices of the securities broker, who worked for National Securities Corporation […]

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