Broker Dudley Stephens Sanctioned By FINRA, Involved In An Investor Dispute Soreide Law Group is reviewing investor complaints concerning securities broker Dudley Franklin Stephens “Stephen Franklin Dudley” (CRD#: 4119268, New York, New York), as disclosed on FINRA BrokerCheck. It appears that Stephens worked for Coastal Equities (2016 to 2018) and Prospera Financial Services (2014 to […]

FINRA Suspends, Fines Securities Broker John Quinn Investment loss recovery counsel at Soreide Law Group provides you with new information on securities broker John Daniel Quinn (CRD#: 2576416, Beverly Hills, California), who discloses information about a client dispute and regulatory enforcement action on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Quinn was a securities broker […]

Morgan Stanley Clients Allege Damages In Disputes About Broker Jesus Rodriguez The Financial Industry Regulatory Authority (FINRA) provides important information in regard to securities broker Jesus Rodriguez “Jesus Rodriquez” (CRD#: 4888685, El Paso, Texas). Evidently, Rodriguez worked for securities firm Morgan Stanley from 2009 to 2021. Notably, he faces allegations of unsuitable and unauthorized trading […]

Voya Client Alleges Misrepresentation By Securities Broker William Johnson Soreide Law Group is reviewing investor disputes concerning securities broker William Colie Johnson (CRD#: 3174473, Greenville, South Carolina), as disclosed on FINRA BrokerCheck. Evidently, Johnson was a securities broker at Voya Financial Advisors from 1999 to 2019. Let’s take a closer look at the allegations of […]

Investor Alleges Sales Practice Violation In Dispute About Broker Mark Haenny Investment loss recovery counsel at Soreide Law Group provides you with new information on securities broker Mark Alan Haenny (CRD#: 4574656, Loveland, Colorado), who discloses information about investor complaints on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Haenny worked as a securities broker or […]

Broker Gregory Young Faces Alternative Investment Disputes From Voya Financial Clients FINRA BrokerCheck contains important disclosures on Gregory Scott Young (CRD#: 3063221, Blythewood, South Carolina). It appears that Young worked for Voya Financial Advisors (2012 to 2017), and JP Turner Company (2010 to 2012). You’ll want to take a closer look at the allegations of […]

Securities Broker Jeffrey Fitz Is Involved In An Investor's Dispute Alleging Misrepresentation Soreide Law Group is examining investor disputes concerning securities broker Jeffrey William Fitz (CRD#: 2211620, Short Hills, New Jersey), as disclosed on FINRA BrokerCheck. Evidently, Fitz worked for securities firm Merrill Lynch as a securities broker and financial advisor from 2013 to 2021. […]

Investor Suitability Disputes Concern William Hennion (Hennion Walsh) FINRA BrokerCheck indicates that investors alleged sales practice violations involving securities broker William Hennion (CRD#: 2048378, Parsippany, New Jersey) and that those violations resulted in damages. Evidently, Hennion has been with Hennion Walsh since 1990 and Hennion Walsh Asset Management since 2007. Notably, he faces allegations of […]

Broker Larry Russo Facing Investor Disputes Concerning Newport, Westpark Clients Soreide Law Group talks about the FINRA BrokerCheck disclosures on securities broker Laurence Jordan Russo “Larry Russo” “Jordan Russo” (CRD#: 2763277, Fort Lauderdale, FL). It appears that Russo worked for Westpark Capital (2016 to 2019). Also, the broker worked for JP Turner Company (2002 to […]