Securities Broker Kim Barentsen Faces Investor Dispute, FINRA Sanctions The Financial Industry Regulatory Authority (FINRA) contains new information regarding securities broker Kimberly Ann Barentsen (CRD#: 2092280, Walnut Creek, California). It appears that a client of First Allied Securities disputed Barentsen’s sales practices. Also, FINRA issued a two-month suspension to the securities broker for allegedly engaging […]

Broker Steve Whittaker Suspended By FINRA Over Alleged Outside Business Activities, Involved In FFEC Client Dispute Evidently, the Financial Industry Regulatory Authority (FINRA) issued a 3-month suspension and $5,000 fine to securities broker Stephen Leroy Whittaker (“Steve Leroy Whittaker”) (CRD#: 831764, Surprise, Arizona). Namely, Whittaker allegedly engaged in an outside business activity without telling First […]

FINRA Bars Securities Broker Brian Radoo, And Investors File Disputes About Him The Financial Industry Regulatory Authority (FINRA) contains important regulatory sanctions and client disputes involving securities broker Brian Radoo (CRD#: 2558458, Tucson, Arizona). It appears on BrokerCheck that FINRA barred Radoo as a securities broker in December 2020. Six investors filed disputes alleging sales […]

Chris Eriksson Terminated From Merrill Lynch Following Allegations Soreide Law Group has news to share with you regarding securities broker Christopher Thomas Eriksson (“Chris Eriksson”) (CRD#: 2487298, Wayzata, Minnesota). Specifically, Merrill Lynch terminated Eriksson following misconduct allegations, and six investors challenged his sales practices. Read below for more information on this securities broker's disclosures and […]

Regulator Issues Sanctions To MassMutual Broker Matthew White Soreide Law Group is evaluating possible investor disputes concerning Matthew Leon White (CRD#: 5365185, Little Rock, Arkansas). Evidently, the securities broker worked for securities firms Northwestern Mutual investment Services (January 2009 to June 2015) and MML Investors Services “MassMutual” (June 2015 to June 2018). Notably, he is […]

AXA Advisors, Equitable Advisors Clients Bring Complaints About Douglas Keller Soreide Law Group provides you with an update on the disclosures pertaining to securities broker Douglas Eugene Keller (CRD#: 1272529, Red Bank, New Jersey). Specifically, there are investor disputes and regulatory sanctions involving the securities broker, who worked for firms including AXA Advisors (2008 to […]

Cantella, Voya and LPL Clients File Investor Disputes About Broker Jim Joly Investment loss recovery counsel at Soreide Law Group is looking into possible investor claims concerning James Ernest Joly (CRD#: 2193463, East Greenwich, Rhode Island). Evidently, the Financial Industry Regulatory Authority (“FINRA”) shows through BrokerCheck that the securities broker, who has worked at Cantella […]

Client Of Royal Alliance Takes Aim At Broker Sharon Kwan For Purported Misrepresentation The Financial Industry Regulatory Authority (“FINRA”) reports troubling information on BrokerCheck in regard to broker Sharon Melinda Kwan (CRD#: 2578627, Arcadia, CA). Notably, her BrokerCheck record shows that three investors filed disputes, and that FINRA suspended her for violating FINRA rules. Evidently, […]

Broker Scott Reed Possibly Recommended Bad Investments To Wells Fargo Clients The investment loss recovery lawyers at Soreide Law Group are investigating allegations of sales practice violations voiced by clients of Scott Reed (CRD#: 3007033, Scottsdale, Arizona). Apparently, Wells Fargo Clearing Services – the firm who he worked for from 2016 to 2020 – accepted […]