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 […]

Broker Jim Schwartz Allegedly Made Unauthorized, Unsuitable Transactions Causing Losses To Clients Soreide Law Group is reviewing potential investor claims against Joseph Gunnar broker James “Jim” Bradley Schwartz (CRD#: 3043085, New York, New York). Apparently, FINRA BrokerCheck reports that the securities broker, who worked for Joseph Gunnar (2016-2017), First Standard Financial Company (2016) and Aegis […]

Investors File Disputes About Broker Marlon Cole Soreide Law Group is looking into potential investor disputes against securities broker Marlon Cole [CRD#: 5054806, New York, New York]. Notably, FINRA BrokerCheck shows that at least 6 clients took issue with the securities broker. These clients held accounts with Cole at firms including Spartan Capital Securities and […]

Broker Gabe Block's License Revoked By NJ Securities Bureau Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) shows troubling information in regard to securities broker Gabriel “Gabe” Block (CRD#: 2103543, Red Bank, New Jersey). Not only has New Jersey Bureau of Securities issued a $750,000 fine to Block and revoked his license for allegedly engaging […]

Andrew Garret Clients Indicate John Conroy Was Negligent, Breached Fiduciary Duty Soreide Law Group is reviewing possible investor claims against securities broker John Conroy (CRD#: 3008995, New York, New York). Apparently, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck shows that at least 6 clients raised serious concerns about the securities broker who worked for Andrew Garrett […]

Broker Jimmy Jacobs Allegedly Concealed Annuity Information Soreide Law Group is reviewing possible investor disputes against AXA Advisors securities broker James “Jimmy” Allen Jacobs (CRD#: 256420, Chesterfield, Virginia). Not only has Virginia State Corporation Commission imposed special supervisory procedures seemingly because of Jacobs’ transgressions in the industry, but at least 5 clients raised serious concerns […]

Broker Dennis Mehringer Barred For Refusing To Testify About Investment Advice Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports alarming allegations of improprieties by Western International Securities broker Dennis Albert Mehringer Jr. (CRD#: 722569, Pasadena, California). Notably, no less than 11 clients contested his sales practices. Not only that, but FINRA barred Mehringer for […]

Clients Suggest Kyusun Kim Gave Bad Advice Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) shows troubling information in regard to securities broker Kyusun Kim [CRD#: 2864085, San Diego, California]. Supposedly, at least 23 clients took issue with the securities broker, who worked for Independent Financial Group from 2006 to 2016 and then worked for […]

Clients Indicate Kalos Capital Broker Eric Weschke Sold Bad BDCs and GPB Funds Soreide Law Group is looking into potential investor disputes against securities broker Eric Weschke [CRD#: 2486324, Setauket, New York]. Supposedly, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck shows that at least 14 clients took issue with the securities broker, who joined Kalos Capital […]