FINRA Suspends Broker Brian Decker Soreide Law Group is investigating potential investor lawsuits against barred securities broker Brian Keith Decker [CRD#: 4565524, New York, New York]. Apparently, Decker associated with Worden Capital Management from 2017 to 2018. He also worked for Legend Securities from 2009 to 2016. Notably, FINRA barred the securities broker, and 11 […]

LPL Broker Kevin Kuhlow Supposedly Caused Clients' Losses On Private Placements Soreide Law Group is investigating potential lawsuits against LPL Financial and securities broker Kevin Joseph Kuhlow (CRD#: 1993792, Los Gatos, California). Evidently, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck reports that 9 clients opposed actions taken by the securities broker, who associated with LPL Financial […]

Buckman Broker Melanie Sweet Allegedly Breached Fiduciary Duty Soreide Law Group is evaluating possible investor claims against securities broker and investment advisor, Melanie Sherry Sweet (CRD#: 2620987, Boca Raton, Florida). Notably, FINRA suspended the broker for failing to respond to its Request for Information. Not only that, but an investor also suggested that Sweet breached […]

Clients File Disputes About Barred Country Capital Broker Adam Lopez Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports alarming allegations of improprieties by securities broker Adam Michael Lopez [CRD#: 5562750, Springfield, Illinois]. Notably, no less than 11 clients brought disputes about the securities broker, who associated with Country Capital Management Company from September 16, […]

Joseph Stone Broker Erik Pica Allegedly Steals $200,000 From Client Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports alarming allegations of improprieties by Joseph Stone Capital securities broker Erik Pica [CRD#: 4829533, New York, New York]. Namely, FINRA filed a complaint against Pica alleging his conversion of client funds. In addition, 7 clients  brought […]

Broker Phillip Schreiner Fails To Comply With FINRA Soreide Law Group is investigating potential investor claims against broker Phillip Schreiner (CRD#: 4742497, San Antonio, Texas). Notably, Financial Industry Regulatory Authority (“FINRA”) issued another sanction to the broker, this time for allegedly failing to pay an arbitration award or prove his compliance therewith. Evidently, this comes […]

First Allied Client Indicates That Broker Mike Azad Caused Investment Losses Soreide Law Group has come across information suggesting that one or more investors filed disputes about First Allied Securities broker Masood Hussain “Mike” Azad (CRD#: 4798445, League City, Texas). Namely, BrokerCheck confirms that FINRA investigated Azad after First Allied disaffiliated with him for allegedly […]

Broker Margareta Childs Barred For Failing To Comply With FINRA Request Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) shows troubling information in regard to Financial West Group and Western International Securities broker Margareta Childs [CRD#: 1495891, Irvine, California]. Not only has FINRA barred the securities broker for being elusive, but at least 2 clients […]

RBC Capital Market's Lisa Lowi Allegedly Made Unsuitable Bond Trades Soreide Law Group is reviewing possible investor claims against RBC Capital Markets securities broker Lisa Lowi (CRD#: 1347790, Boca Raton, Florida). Namely, the Financial Industry Regulatory Authority (“FINRA”) reports that 39+ clients brought disputes about her sales practices. Not only that, but FINRA barred Lowi […]