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October 31, 2023
Complaints Concerning Securities Broker Rich Jackman

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, […]

September 8, 2023
Investors File Disputes About Shawn Spellacy

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. […]

September 7, 2023
Seth Mason Discloses Allegations Of Unsuitable Trading

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 […]

August 22, 2023
Investors Bring Dispute About Joseph Katzaroff

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 […]

October 5, 2022
Scott Hananel In Client Suitability Disputes

The Financial Industry Regulatory Authority (FINRA) important information relating to securities broker Scott Neil Hananel [CRD #: 3080827, Melville, NY]. Hananel worked for (1) Aegis Capital Corp from 2010-2021; (2) GunnAllen Financial Inc. from 2005-2010; and (3) Milestone Group Management from 2002-2005. Evidently, Aegis Capital Corp. investors disputed the sales practices of the securities broker. […]

August 25, 2022
Joseph Sterling, Geneos Wealth Management Involved In Investor Disputes

The Financial Industry Regulatory Authority (FINRA) reports client disputes involving securities broker Joseph Harold Sterling (CRD#: 1101378, Apple Valley, Minnesota). Three of those disputes concern Sterling's actions while he worked for Geneos Wealth Management Inc., and one of the disputes concerns Sterling's actions with SunAmerica Securities Inc. Let's take a closer look at the allegations […]

August 18, 2022
Christopher Watkins Involved In LPL Financial Investor Disputes

Soreide Law Group is reviewing potential investor disputes concerning securities broker Christopher Neil Watkins (CRD#: 4456445, Louisville, Kentucky). Namely, Watkins joined LPL Financial in 2011 as both a financial advisor and securities broker. He joined Silver Oaks Securities in December 2018 and Magnate Advisory Services in March 2019. Notably, LPL Financial disaffiliated with Watkins in […]

August 16, 2022
Robert Hoffmann Barred And Involved In Investor Disputes

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows important information about securities broker Robert Hayes Hoffmann (CRD#: 4008798, Indianapolis, Indiana). Evidently, Hoffmann worked for securities firms Robert W. Baird & Co. Incorporated, Northwestern Mutual Investment Services, LLC, Woodbury Financial Services, Inc., and Thurston, Springer, Miller, Herd & Titak, Inc. Notably, at least 4 investors complained about […]

July 7, 2022
Barry Garapedian Facing Morgan Stanley Investor Disputes

Broker Barry Garapedian (Morgan Stanley) Faces Investor Disputes The Financial Industry Regulatory Authority (FINRA) provides important information in regard to securities broker Barry Lee Garapedian (CRD#: 1039257, Westlake Village, California). It appears that the disclosures involving Garapedian mainly concern his employment at Morgan Stanley. He worked at the firm’s CA offices from 2009 to 2021. […]

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