Securities Broker Scott Williams (Raymond James, LPL Financial) Involved In Investor Disputes Soreide Law Group provides you with this Investor Alert in regard to securities broker Scott D. Williams (CRD#: 2330693, Franklin Tennessee). Notably, the Financial Industry Regulatory Authority (“FINRA”) reports that the securities broker, who worked for firms Raymond James (2011 to 2017) and […]

Raymond James' Taek Chong Allegedly Fleeces Clients Investors have brought lawsuits regarding barred financial advisor Taek Chong [CRD#: 1551473, Mercer Island, Washington]. Supposedly, the financial advisor, who worked for Raymond James Financial Services from 2000 to 2018, discloses four investor disputes on Financial Industry Regulatory Authority (“FINRA”) BrokerCheck. Significantly, Raymond James clients suggest that they […]

FINRA Bars UBS Financial Services Broker David Fagenson Investor Alert! FINRA discloses troubling information about securities broker David Fagenson [CRD#: 1652012, Boca Raton, Florida]. Not only has FINRA barred Fagenson for failing to comply with its requests, but at least 11 clients took issue with the securities broker, who worked for Newbridge Securities Corporation between […]

STEPHEN CARVER Cause Your Investment Losses? The Financial Industry Regulatory Authority (FINRA) confirms that at least three investors filed disputes over the sales practices of Stephen Carver (CRD#: 2230161, Peoria, Illinois). The disputes, which come from investors of both LifeMark Securities Corp, LPL Financial, and Cetera Advisors LLC, are summarized below: LifeMark Securities Corp. Client’s […]

INVESTOR ALERT: Lawsuit Filed About CHRISTOPHER JORGENSEN Christopher Jorgensen (CRD#: 1919475, Setauket, New York) is a prior Summit Brokerage Services Inc. general securities broker. Notably, the Financial Industry Regulatory Authority (“FINRA”) BrokerCheck shows that at least two customers brought investor disputes about Jorgensen since FINRA barred him. The customers’ disputes, summarized below, raise serious allegations […]

Financial West Group Broker Sean J. Waters Barred For Churning Sean J. Waters (CRD#: 4414180, Los Angeles, California) is a prior securities representative of Financial West Group who just got barred from the securities industry by the Financial Industry Regulatory Authority (“FINRA”). Pursuant to Letter of Acceptance, Waiver and Consent #2017054755203 dated November 28, 2018, […]

Soreide Law Group obtained the following complaint on FINRA’s website under, “Disciplinary and Other FINRA Actions, January 2017.” (Issuance of a disciplinary complaint represents FINRA’s initiation of a formal proceeding in which findings as to the allegations in the complaint have not been made, and does not represent a decision as to any of the […]

Soreide Law Group (888-760-6552) obtained the following from FINRA’s website under, “Disciplinary and Other FINRA Actions, January 2017.” John Billy Kakonikos (CRD #4017356, Flushing, New York) was assessed a deferred fine of $10,000, suspended by FINRA for 18 months, and ordered to pay deferred restitution in the amount of $72,524.53, plus interest, to a client […]

The following was obtained by Soreide Law Group on FINRA’s website under, “Disciplinary and Other FINRA Actions, January 2017.” Harry Colon Bennett (CRD#: 2395555, New Boston, Michigan) was barred by FINRA allegedly for refusing to appear for FINRA on-the-record testimony in connection with an investigation involving allegations that he may have engaged in sales practice […]