Investors might have sustained losses due to securities broker Alan Duane Douglass (also known as Roof Douglass) [CRD: 1619835, Clearwater, Florida], based on publicly available information Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Douglass worked for Investacorp Inc. from March 7, 1995, to July 17, 2020; for Securities America Inc. from July 17, 2020, to […]

Soreide Law Group, based in South Florida, has filed a FINRA arbitration on behalf of their client (Claimant) against: CONCORDE INVESTMENTS SERVICES, LLC. (Respondent) The Claimant resides in Southwest Florida and maintained a relationship with CONCORDE INVESTMENTS SERVICES and its Financial Advisor, Bart Harrison. The lawsuit alleges that CONCORDE INVESTMENTS SERVICES and Bart Harrison understood […]

Investors might have sustained losses due to Michael Perron Shoemaker [CRD: 5836113, Atlanta, Georgia]. Evidently, Michael Shoemaker joined Bankers Life Securities Inc. on May 26, 2016. Below, readers can learn more about the disclosures surrounding Shoemaker's conduct and the implications for those affected. Bankers Life Securities Inc. Investor Accused Shoemaker Of Unsuitable Recommendations Particularly, on […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Glennon James Cole (also known as Glen James Cole) [CRD: 1999588, Manchester, Missouri], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Glennon Cole worked for Moloney Securities Co. Inc. from September 14, 2012, to February […]

Soreide Law Group is reviewing potential investor claims on behalf of individuals who incurred losses from securities broker Randall Leigh Raymond (also known as Randy Raymond) [CRD: 1041994, Lincoln, Nebraska]. Particularly, Raymond worked for SagePoint Financial Inc. from July 8, 2011, to September 1, 2023. Keep reading to learn more about the disclosures involving Randall […]

Soreide Law Group is currently investigating potential claims on behalf of investors who may have experienced financial losses through the actions of Richard W. Jackman (also known as Rich Jackman) [CRD: 2501641, Orange, California]. Particularly, Jackman has been registered with Crown Capital Securities L.P. as both a broker and an investment adviser since December 19, […]

Investors have come forward with complaints about Shawn Conan Spellacy [CRD: 2275119, Fair Oaks, California]. Evidently, the securities broker, who worked for Calton Associates Inc., discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Calton Associates Inc. clients allege unsuitable trading. For more on these disclosures about Spellacy, see below. Calton Associates Inc. […]

Investors have come forward with complaints about Seth Gordon Mason [CRD: 1540891, Grand Rapids, Michigan]. Evidently, the securities broker, who worked for Morgan Stanley Smith Barney, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Morgan Stanley Smith Barney clients allege that Mason engaged in unsuitable trading. For more on these disclosures about […]

Soreide Law Group is investigating possible investor claims against securities broker Joseph P. Katzaroff (also known as Joseph Patrick Katzaroff) [CRD: 1811119, Irvine, California]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for UBS Financial Services Inc. Notably, investors allege unsuitable trading. Here […]