Farmers Financial Solutions Broker Kirk Bertsch Faces Investor Dispute, FINRA Sanctions For Woodbridge Transactions The Financial industry Regulatory Authority (“FINRA”) reveals that an investor disputed the sales practices of securities broker Kirk James Bertsch (CRD#: 4132889, Spearfish, South Dakota). The securities broker worked for Farmers Financial Solutions as a securities broker from 2008 to 2018, […]

Investor Files Dispute About Barred Broker David Volpe Soreide Law Group is evaluating possible investor claims against securities broker David John Volpe (CRD#: 2543478, Scottsdale, Arizona). Evidently, the securities broker last worked for First Financial Equity Corporation (2019). He also worked for LPL Financial LLC (2017 to 2018) and National Planning Corporation (2009 to 2017). […]

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 […]

MassMutual's Caleb Jamison Facing FINRA Suspension The Financial Industry Regulatory Authority (“FINRA”) has issued a suspension and fine to securities broker Caleb A. Jamison (CRD#: 5645954, Little Rock, Arkansas) Not only that, but MassMutual terminated the securities broker for allegedly failing to tell his securities firm about outside business activities. FINRA Suspends, Fines Caleb Jamison […]

Breach Of Fiduciary Duty Alleged By Clients Of Barred Broker Greg McKinney Two more investor disputes have surfaced on the FINRA BrokerCheck Report for James Gregory McKinney (CRD#: 2100850, Tulsa, Oklahoma). Notably, FINRA barred McKinney as a stockbroker for failing to testify regarding his alleged sales practice violations. Not only that, but clients have filed […]

Broker Roger Owens Allegedly Deceived Investors Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports alarming information in regard to securities broker Roger Lee Owens [CRD#: 2359204, Elkton, Maryland]. Notably, at least 4 clients filed formal disputes about the securities broker, who worked for Cetera Advisors between 2007 and 2019. Also, FINRA issued him a […]

KERRY HOFFMAN, THOMAS CONWELL Named In SEC Complaint The Securities and Exchange Commission (“SEC”) brought charges against prior LPL Financial LLC securities broker Kerry Hoffman (CRD#: 1061740, Mundelein, Illinois) and barred-broker Thomas Conwell (CRD#: 2095817, Fort Meyers, Florida). Specifically, the agency filed Civil Action #: 19-cv-4409 on July 1, 2019, claiming Hoffman and Conwell violated […]

Did DANA VIETOR Cause Your Investment Losses? Soreide Law Group is reviewing potential investor claims against CFD Investments, Inc. securities broker Dana Bruce Vietor (CRD#: 873129, Dallas Texas). Notably, the Financial Industry Regulatory Authority (“FINRA”) shows six clients disputed Vietor’s sales practices. Here’s a summary of the allegations against Vietor that investors should be aware […]

JEFF NIMMOW Sell You Bad Investments? Soreide Law Group is considering bringing claims on behalf of investors who incurred losses by investing with Jeff Nimmow (CRD#: 2693601, Hillside, Illinois). According to Nimmow’s Financial Industry Regulatory Authority (“FINRA”) BrokerCheck Report, at least four clients complained about his sales practices. Not only that, but Forest Securities discharged […]