Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker John Aloysius Dougherty (also known as Jack Dougherty) [CRD: 3018615, Blue Bell, Pennsylvania], given the disclosures on FINRA BrokerCheck. Evidently, Dougherty worked for LPL Financial LLC from January 4, 2021, to August 11, 2023, and for Wells Fargo […]

Investors potentially experienced investment losses through securities broker Sara Yasmin Qazi [CRD: 4118177, Beverly Hills, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Qazi joined Raymond James Associates Inc. in Beverly Hills, California, since March 12, 2021. She worked for Morgan Stanley from September 17, 2009, to March 15, 2021. Continue […]

FINRA BrokerCheck shows that PFS Investments Inc. clients disputed the sales practices of Jeremiah Roman [CRD: 6321876, Coral Springs, Florida]. Evidently, Roman worked for PFS Investments Inc. from June 27, 2014, to October 27, 2021. Below, investors can find more information about the disclosures concerning Jeremiah Roman's conduct. PFS Investments Inc. Client Alleged Breach Of […]

Soreide Law Group is actively investigating claims on behalf of individuals who have suffered financial losses due to the actions of Sean Pong, also known as Syany Pong [CRD#: 2406530, Los Alamitos, California]. Sean Pong's professional background includes a tenure at U.S. Bancorp Investments Inc., where he was registered from October 19, 2012, to September […]

Soreide Law Group is investigating potential claims on behalf of investors who may have experienced financial losses due to the actions of securities broker Eric William Davidson [CRD#: 2731195, Portland, Oregon]. He has been registered with Aegis Capital Corp. since July 2, 2015. Previously, he was affiliated with Paulson Investment Company Inc. Among the concerns […]

Soreide Law Group is actively investigating potential claims on behalf of investors who may have experienced financial losses due to the actions of securities broker Brody Ralph Bray (also known as Brody Bray) (CRD: 4727529, Atlanta, Georgia). Particularly, Bray has had regulatory actions brought against him by FINRA. Additionally, Bray has faced client complaints. In […]

Soreide Law Group is currently investigating potential claims on behalf of investors who have incurred losses due to the actions of Billy Pascal Stanage Jr. (also known as Billy P. Stanage) (CRD: 4450674, Rio Rancho, New Mexico). Stanage worked for Commonwealth Financial Network from December 4, 2019, to March 7, 2023. He previously worked for […]

Soreide Law Group is investigating possible investor claims against securities broker Gregory Edward Collins (also known as Greg Collins) [CRD: 4224616, East Greenbush, New York]. Notably, FINRA sanctioned the securities broker, who worked for LPL Financial LLC. Here is a brief summary of FINRA’s allegations against Collins. FINRA Sanctions Collins For Outside Business Activities Notably, […]

FINRA Suspends, Fines Securities Broker John Quinn Investment loss recovery counsel at Soreide Law Group provides you with new information on securities broker John Daniel Quinn (CRD#: 2576416, Beverly Hills, California), who discloses information about a client dispute and regulatory enforcement action on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Quinn was a securities broker […]