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). […]

TYLER DEAN DELAHUNT (TYLER DELAHUNT, CRD#: 4419594), formerly with Merrill Lynch of Atlanta, Georgia, was barred by FINRA on January 25, 2021, from acting as a broker or otherwise associating with a broker-dealer firm. Delahunt was previously registered both as a broker and as an investment advisor. Without admitting or denying FINRA’s findings, TYLER DELAHUNT […]

Securities Broker Rand Heckler Targeted By SEC, FINRA Soreide Law Group provides you with this Investor Alert in regard to former Benjamin Jerold Brokerage I LLC securities broker Rand Alan Heckler (CRD#: 2689235, Glen Cove, New York). Notably, on September 30, 2020, SEC charged Heckler with violating securities laws. Not only that, but FINRA barred […]

Barred Broker Mike Carter Involved In Investors' Misappropriation Disputes Soreide Law Group is reviewing possible investor claims against Michael “Mike” Barry Carter (CRD#: 3232017, McLean, Virginia). Evidently, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck indicates that four investors brought disputes about the financial advisor, who worked for Morgan Stanley from 2011 to 2019. Notably, these disputes […]

Broker Benjamin Bourgeois Allegedly Converted Funds From LPL Financial Client Investor Alert! The Financial Industry Regulatory Authority ("FINRA") reports alarming allegations of improprieties by securities broker Benjamin Frank Bourgeois Jr. (CRD#: 2145555, Metairie, Louisiana). Notably, no less than 4 clients contested the securities recommendations or sales of the securities broker, who worked for Commonwealth Financial […]

Kentucky Department Of Financial Institutions Bars Edward Bosh Kentucky Department of Financial Institutions issued a Final Order barring LPL Financial securities broker and Independent Financial Partners ("IFP") Advisors representative Edward Bosch (CRD#: 1127469, Florence, Kentucky). The Order dated March 8, 2018 shows that Bosch admitted to improperly depositing his clients’ funds in his own account. […]

PFS Securities Broker SARA WILHITE Barred By FINRA The Financial Industry Regulatory Authority (“FINRA”) announced February 20, 2018 that it barred PFS Investments Inc. securities broker Sara Wilhite (CRD#: 6624861, Vista, CA). Evidently, the sanction comes after FINRA suspended Wilhite for failing to provide FINRA with information in an inquiry or investigation. Here's more on […]

ROBERT MONTES Barred By FINRA The Financial Industry Regulatory Authority (“FINRA”) announced July 24, 2019 that it barred Morgan Stanley securities broker Robert Montes (CRD#: 835488, Palm Harbor, Florida). Evidently, Montes, who worked for Morgan Stanley from 2014 until 2019,  flat out refused to cooperate with FINRA who investigated him for his possible misuse of […]

Soreide Law Group is currently investigating, on behalf of our clients, NEXT FINANCIAL GROUP, INC. based in Houston, TX, and their former registered representative in Frisco, TX, TYE CALVIN WILLIAMS CRD#: 1271046. FINRA has barred Tye Williams from acting as a broker or otherwise associating with firms that sell securities to the public. In September […]