Did You Suffer Losses By Investing In FS Global Credit Opportunities Fund (FSGCO)? The investment loss recovery lawyers at Soreide Law Group are reviewing potential investor claims against financial advisors and securities brokers who possibly made unsuitable or misrepresented recommendations and sales of FS Global Credit Opportunities Fund (FSGCO). Here's more on the investment and […]

Broker Matt Kildis Involved In Disputes Alleging Unsuitable Recommendations, Misrepresentation Soreide Law Group is reviewing potential investor disputes against securities broker Ahmet Kildis (“Matt Kildis”) (CRD#: 2058173, Hudson, Florida). FINRA BrokerCheck shows that Kildis works for Fifth Third Securities and used to work for SunTrust Securities. Notably, three investors filed disputes about the broker, and […]

Investor Disputes About Bill Sines Allege Unsuitable Transactions At SII Investments, Berthel Fisher Soreide Law Group is investigating whether to bring potential investor disputes against securities broker William Charles Sines (Bill Sines) (CRD#: 2190586, Seminole, Florida). Evidently, Sines worked for securities firms, including SII Investments (1997 to 2015), Kalos Capital (2015 to 2018), and Berthel […]

Clients Of Axiom Capital Management File Disputes About Securities Broker Jennifer Ling The Financial Industry Regulatory Authority (FINRA) BrokerCheck contains recent disclosures regarding securities broker Jennifer Ling (CRD#: 3277203, New York, New York). Specifically, Ling, who worked for Axiom Capital Management between May 2015 and July 2017, faces investor disputes. Here's a closer look at […]

Dawson James Securities Clients File Disputes About Securities Broker Douglas Armstrong Soreide Law Group has important information to share with you regarding Robert Douglas Armstrong (CRD#: 5236735, Boca Raton, Florida). Namely, Armstrong, who became a Dawson James Securities Inc. employee in August 2012, is involved in eight investor disputes. Here's more on the disclosures and […]

FINRA Issues Suspension To Mike Hartlett For Discretionary Trading At LPL Financial Soreide Law Group is investigating possible investor claims or disputes against LPL Financial securities broker Michael Miles Hartlett (“Mike Hartlett”) (CRD#: 1022139, East Petersburg, Pennsylvania). Namely, the Financial Industry Regulatory Authority (FINRA) suspended and fined Hartlett for allegedly making discretionary trades in violation […]

Chris Eriksson Terminated From Merrill Lynch Following Allegations Soreide Law Group has news to share with you regarding securities broker Christopher Thomas Eriksson (“Chris Eriksson”) (CRD#: 2487298, Wayzata, Minnesota). Specifically, Merrill Lynch terminated Eriksson following misconduct allegations, and six investors challenged his sales practices. Read below for more information on this securities broker's disclosures and […]

FINRA Launches Investigation Into Securities Broker Antoine Souma Relating To Possible Concealment Of Client Complaint It appears that securities broker Antoine Nabih Souma (CRD#: 4210987, Los Angeles, California) is under FINRA investigation. Essentially, FINRA says in a December 2020 disclosure that it might take disciplinary action against Souma for possibly violating FINRA and MSRB rules […]

FINRA Issues Suspension To Broker Hector Ramos To Resolve Allegations Of Unsuitable Recommendations Financial Industry Regulatory Authority ("FINRA") BrokerCheck provides you with important information about securities broker Hector Ramos (CRD#: 4172477, Brandon, South Dakota). Notably, FINRA sanctioned Ramos twice, and an investor complained about him. Here's more. FINRA Suspends Hector Ramos In 2020 For Allegedly […]