Investors potentially incurred losses because of securities broker Mark Robert Brosa [CRD: 5481188, Lawrence, Kansas], given the public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Mark Brosa worked for Ameriprise Financial Services LLC from April 17, 2020, to March 22, 2024. Keep reading to learn more about the disclosures involving Mark Brosa. FINRA Sanctioned […]

Oklahoma Department of Securities and FINRA sanctioned securities broker David Jerry Love [CRD: 4788074, Oklahoma City, Oklahoma], and investors complained about him, according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Love worked for LaSalle St. Securities LLC from September 2, 2021, to May 31, 2024, and previously for ICMA-RC Services LLC from […]

Investors potentially incurred losses because of securities broker Jan Earl Haynes [CRD: 833875, La Jolla, California], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Haynes worked for Integrity Brokerage Services Inc. from January 3, 2017, to April 20, 2020. Investors can see below to find out more about disclosures involving this broker. […]

Investors reportedly complained about securities broker Sanford Graham Simmons Jr. (also known as Sandy Simmons) [CRD: 1018907, Castle Rock, Colorado], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Simmons worked for Saxony Securities Inc. from January 3, 2023, to October 2, 2024; Patrick Capital Markets LLC from March 22, 2021, to […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker John Luis Torres (also known as Juan Luis Torres) [CRD: 6322231, Woodland Hills, California], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Torres worked for J.P. Morgan Securities LLC from May 10, 2014, to August […]

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 Jonathan Walter Way [CRD: 1126849, Napa, California]. Notably, FINRA sanctioned the securities broker, who worked for Wedbush Securities Inc. Allegedly, Way failed to comply with FINRA in a probe. Here is a brief summary of FINRA’s allegations against Way. FINRA Sanctions Way For Failure […]

Soreide Law Group is investigating possible investor claims against securities broker David Alan Snavely (also known as Dave Snavely) [CRD: 2030866, Des Moines, Washington]. Notably, FINRA sanctioned the securities broker, who worked for Cetera Advisors LLC. Allegedly, Snavely failed to cooperate with FINRA. Here is a brief summary of FINRA’s allegations against Snavely. FINRA Sanctions […]

Financial industry watchdog, FINRA, barred securities broker Michael Paul Francoeur (CRD#: 5534184, Somersworth, New Hampshire). Notably, this bar prevents Francoeur from associating with FINRA-member firms, some of whom are major financial institutions. It appears that Francoeur refused to give information to FINRA in regards to a client complaint. Also, BrokerCheck shows that Cambridge Investment Research […]