Investor Dispute Reported On BrokerCheck Concerning Barred Broker William Wright Soreide Law Group is reviewing BrokerCheck disclosures of securities broker William Wright (CRD#: 3048195, New York, New York). Evidently, Wright was a National Securities Corporation securities broker from February 2015 to November 2020. Let’s take a closer look at the allegations as reported on BrokerCheck. […]

FINRA Bars Edward Jones Securities Broker Anthony Hall Because Of Alleged Investigation Misconduct Notably, the Financial Industry Regulatory Authority (FINRA) barred securities broker Anthony Glenn Hall (CRD#: 5546165, Dayton, Texas) for not cooperating with FINRA investigators. Not only that, but BrokerCheck shows that Edward Jones, who employed Hall from 2008 to 2019, disaffiliated with him […]

FINRA Bars LPL Financial Broker Scott Mason The Financial Industry Regulatory Authority (“FINRA”) indefinitely barred securities broker Scott Mason (CRD#: 3207386, Greenwood Village, Colorado). It seems that Mason, who worked for LPL Financial (2013 and 2017) and Voya Financial Advisors (2018), received two sets of sanctions by FINRA. Also, LPL clients complained about Mason. Notably, […]

FINRA Sanctions Broker David Fleming For Not Paying Customer Arbitration Award Investor Alert! FINRA reports alarming information in regard to securities broker David Wilson Fleming Jr. [CRD#: 1021968, White Plains, New York]. Notably, FINRA suspended Wilson twice. In addition, at least two investors raised serious concerns about the securities broker, who most recently worked for […]

BENJAMIN FRANK BOURGEOIS JR (BEN BOURGEOIS JR, BENJAMIN F BOURGEOIS JR) CRD#: 2145555, has been barred by the Financial Industry Regulatory Authority Inc. (FINRA), on May 28, 2019, from acting as a broker or otherwise associating with a broker/dealer firm for allegedly failing to provide FINRA with information in connection with an investigation into his […]

Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against:  PRINCIPAL SECURITIES, INC. (Respondent) The Claimant is a widow residing in Texas. At all times relevant to this lawsuit the Claimant maintained her accounts at PRINCIPAL SECURITIES. According to the lawsuit the Claimant is seeking damages relating to the misconduct […]

FINRA Bars TCFG Broker Charles Acheson Laverty From Securities Industry Charles Acheson Laverty (CRD#: 4875386, Newport Beach, California) is a former TCFG Wealth Management LLC securities representative who is now barred from the securities industry by the Financial Industry Regulatory Authority (FINRA) pursuant to Hearing Panel Decision #2016050205901 dated November 13, 2018.  The Hearing Panel […]

Soreide Law Group, based in South Florida, obtained the following information from FINRA’s website’s May 2017 Disciplinary Report regarding Florida broker: David Ladin (CRD #3220407, Fort Lauderdale, Florida) Ladin was assessed a deferred fine of $10,000 and suspended by FINRA for four months for allegedly borrowing $12,000 from a client and failing to notify his […]

Soreide Law Group is investigating claims on behalf of our client involving former LPL Financial and Edward Jones broker, MARCOS YANEZ (CRD#: 5353857). Mr. Yanez most recently worked at an LPL Financial office in Dallas, Texas. Mr. Yanez also maintained an outside electrician business. Upon information and belief, allegedly Mr. Yanez encouraged certain clients to […]