WILLIAM ROBERTSON Give You Bad Investment Recommendations? Soreide Law Group is evaluating possible claims on behalf of investors who suffered losses by investing with First Allied Securities Inc. broker William Robertson (CRD#: 823461, Deer Park, Texas). According to the Financial Industry Regulatory Authority (“FINRA”) BrokerCheck, at least five clients complained about Robertson’s sales practices. Here’s […]

MARK SACHSE Barred By FINRA The Financial Industry Regulatory Authority (“FINRA”) barred Ameriprise Financial Services Inc. broker Mark Sachse (CRD#: 5155260, Overland Park, Kansas) for not complying with a FINRA probe. Notably, the FINRA BrokerCheck Report for Sachse shows that FINRA made a “request for information” which Sachse failed to answer. Supposedly, FINRA inquired into […]

MICHAEL BARNETT Sell You Unsuitable Investments? Have you invested with JJB Hilliard WL Lyons LLC general securities representative Michael Barnett (CRD#: 5792242, Marion, Illinois)? It appears from Financial Industry Regulatory Authority (“FINRA”) BrokerCheck that Barnett may have sold unsuitable alternative investments. Soreide Law Group is evaluating possible investor claims against Barnett given this information. Here […]

SEAN BRADY Barred, Sued By Investors The Financial Industry Regulatory Authority (“FINRA”) barred First Allied Securities Inc. broker Sean Brady (CRD#: 4365173, St. Louis, Missouri). Evidently, Brady – who First Allied discharged on November 15, 2017 for falsifying clients’ documents – evidently stonewalled a FINRA investigation. That investigation supposedly concerned Brady’s sales practice violations at […]

JOHN MORABITO Give You Unsuitable Advice? If you invested through Merrill Lynch securities broker John Morabito (CRD#: 4651112, Alpharetta, Georgia), he possibly gave you bad advice. Particularly, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck shows that at least one client complained about his sales practices. Here’s more on the dispute concerning Morabito: Merrill Lynch Client Suggests […]

CHAMP WARREN Give You Bad Investment Advice? Soreide Law Group is evaluating possible investor claims of suitability against Champ Warren (CRD#: 2401114, Houston, Texas). Warren is a securities representative who joined Merrill Lynch on November 30, 1993. Namely, the Financial Industry Regulatory Authority (“FINRA”) shows on Warren’s BrokerCheck Report that a client complained about his […]

GEORGE CRAIG MERHOFF Barred By FINRA The Financial Industry Regulatory Authority (“FINRA”) confirmed June 14, 2019 that it barred Cetera Advisors LLC securities broker George Craig Merhoff Jr. (CRD#: 2918171, Klamath Falls, Oregon) from the securities industry. Evidently, Merhoff executed Letter of Acceptance, Waiver, and Consent (“AWC”) #:2018057331001 on June 3; FINRA accepted it June […]

WEATHERLY OIL AND GAS LLC Losses? Soreide Law Group is reviewing possible investor claims against brokers and financial advisors who sold investors Weatherly Oil and Gas LLC. Evidently, Weatherly, an oil and gas acquisition and exploitation company, is private-equity backed and concentrates in the region of Texas, Louisiana and Arkansas. The company controls more than […]

CHRISTOPHER CONNESS Sell You Unsuitable Investments? Soreide Law Group is investigating possible investor claims against G.F. Investment Services LLC and securities broker Christopher Conness (CRD#: 4778193, Fort Lauderdale, Florida). Namely, the firm is investigating whether Conness was negligent and failed to act in the best interests of his investor clients with respect to his alternative […]